Regulatory News (Dec 2023)
- SFC suspends Hau Bing Leung for 15 months
- Market Misconduct Tribunal sanctions Mayer Holdings Limited and its former senior management for late disclosure of inside information
- SFC warns public of unauthorised investment product named EAsyGOld Trend and EAsyGOld Plus
- SFC warns public of LonShiX and Bitbank (Global) Financial Holding Group for suspected virtual asset-related fraud
- SFC welcomes Process Review Panel Report 2022-23
- SFC’s enhanced position limit regime to take effect
- SFC reprimands and fines Central Wealth Securities Investment Limited $1 million for breaching Financial Resources Rules
- SFC and State Administration of Foreign Exchange top management meet in Beijing
- SFC bans Amy Chow Bik Sum for life
- SFC obtains court order to disqualify former independent non-executive director of China Candy Holdings Limited for three years
- SFC warns public of unauthorised investment product offered by “ATG Algorithm Trade Group”
- SFC issues restriction notice to China International Capital Corporation Hong Kong Securities Limited
- SFC highlights key regulatory work and market data in quarterly report
- SFC warns public of HongKongDAO and BitCuped for involvement in suspected virtual asset-related frauds
- SFC reprimands and fines Ruifeng Securities Limited $5.2 million for fund management and account opening failures and suspends its responsible officer
Regulatory News (Nov 2023)
- SFC and CSRC hold high-level enforcement cooperation meeting and joint training
- Hong Kong to launch China treasury bond futures
- SFC commences legal proceedings against AMTD Global Markets Limited and its former executives for non-compliance in IPO-related investigations
- SFC commences legal proceedings against First Credit Finance Group Limited, its former directors and de facto director
- SFC reprimands and fines Lion Futures Limited $2.8 million for regulatory breaches
- Court acquits duo of unlicensed activities
- SFC’s acquisition of permanent office
- SFC obtains court orders against former chairman of Kong Sun Holdings Limited and China Sandi Holdings Limited
- SFC seeks court disqualification orders against former directors of Tech Pro Technology Development Limited
- SFC inaugurates Forum on Sustainability Disclosures
- New speech by Julia Leung: Speech at Financial Street Forum 2023
- Conclusion of “Conversations with Global Investors” Seminar of Global Financial Leaders Investment Summit
- Court sets trial date for employing a fraudulent scheme in securities transactions in illegal short selling case
- SFC welcomes new financial infrastructure for retail fund distribution in Hong Kong
Regulatory News (Oct 2023)
- SFC consults further on proposed amendments for implementing an uncertificated securities market
- Court of Final Appeal unanimously dismisses appeal by suspected overseas manipulators
- SFC supports and sponsors the development of an industry-led voluntary code of conduct for ESG ratings and data products providers
- Court extends cut-off date for Maxim Fund investors to make claims by 30 November 2023
- Personal assistant to listed company’s chairman convicted of insider dealing
- SFC welcomes Chief Executive’s initiatives to enhance Hong Kong’s IFC status
- SFC restrains former director of SMI Culture & Travel Group Holdings Limited from disposing personal properties
- SFC, ICAC and AFRC conduct first tripartite operation against suspected corporate fraud and misconduct
- SFC welcomes re-appointment of Non-Executive Directors
- SFC consults on market sounding guidelines
- SFC bans Ivan Chan Chuk Cheung for seven years for IPO sponsor failures
- SFC commences legal proceedings against FingerTango Inc. and its current and former directors
- HKPF and SFC establish joint working group on VATPs