Regulatory News (Aug 2024)
- SFC welcomes launch of Project Ensemble Sandbox as key step in Hong Kong’s tokenisation development
- New speech by Julia Leung: Opening remarks at Project Ensemble Sandbox Launch Ceremony
- Joint announcement of the SFC and the Exchange in relation to modifications to requirements for specialist technology companies and de-SPAC transactions
- Hong Kong sees a quarter of broad market growth, firmer ties and regulatory progress: SFC’s Quarterly Report
- SFC, ICAC and Macao Judiciary Police conduct joint operation against suspected cross-boundary fraud and misconduct in listed company
- SFC warns public of “ICE Global Professional Station” for impersonation and suspected virtual asset-related fraud
- Cessation of suspension of Changjiang Corporate Finance (HK) Limited acting as sponsor
- SFC consults on proposals to abolish mixed media offers
- Market Misconduct Tribunal finds China Forestry’s former chairman and CEO culpable for disclosure of false or misleading information and former CEO for insider trading
- Suspected core syndicate member charged in ramp-and-dump case
- Wanted core member of ramp-and-dump syndicate arrested
Regulatory News (Jul 2024)
- Former banker ordered to disgorge $3 million illegal gains from insider dealing
- SFC warns public of Proxinex for suspected virtual asset-related fraud
- SFC and IA joined forces to tackle cross-sector irregularities
- SFC welcomes appointment and re-appointment of Non-Executive Directors
- SFC warns public against unlicensed virtual asset trading platform CoinUnited.io
- Three jailed between 52 and 80 months in landmark market manipulation case
- SFC sets clear timeline for implementing an uncertificated securities market in Hong Kong
- SFC and CSRC hold high-level enforcement cooperation meeting
- Enduring strength of Hong Kong as leading international asset and wealth management hub: SFC survey 2023
- First District Court hearings for 18 defendants in three social media ramp-and-dump cases
- New speech by Julia Leung: Keynote address at Bond Connect Anniversary Summit 2024
- SFC and HKMA welcome PBoC’s new measure on Northbound Swap Connect margin collateral arrangement
- SFC to launch new online application and submission system for investment products
- SFC warns public of seven entities for suspected virtual asset-related fraud
- Court convicts and fines Tse Tsun Wai for unlicensed activity
- Hedge fund manager ordered to disgorge $5.6 million illicit profit from false trading and disqualified for four years
- First District Court hearing on insider dealing case against Segantii Capital Management and its chief investment officer
Regulatory News (Jun 2024)
- SFC warns public of Tokencan, VBIT Exchange and HKD.com Corporation for suspected virtual asset-related fraud and/or unlicensed activities
- SFC and HKMA conclude annual updates to Financial Services Providers list under OTC derivatives regulatory regime
- SFC bans Wu Chao for three years and seven months
- SFC secures conviction for provision of paid investment advice on Telegram chat group without licence
- SFC suspends Shum Wai Nap for seven months for failures in managing a private fund
- Three sophisticated ramp-and-dump cases transferred to District Court
- SFC’s 35th year and beyond: guiding Hong Kong’s capital markets with mission and vision
- Market manipulation case adjourned for sentencing
- SFC bans Ha Po Kwan for 12 months
- SFC welcomes progress on implementation of Mainland-Hong Kong Mutual Recognition of Funds enhancements
- SFC briefs virtual asset trading platform applicants on regulatory expectations after transition period ends
- Insider dealing case against Segantii Capital Management and its chief investment officer transferred to District Court
- SFC cooperates with BCSC in obtaining preservation orders against Leung Anita Fung Yee Maria in British Columbia, Canada
- New speech by Julia Leung: Speech at Greenwich Economic Forum Hong Kong
- SFC meets Capital Market Authority and Saudi Tadawul Group in Saudi Arabia