Regulatory News (Nov 2024)
- SFC and ICAC jointly investigate suspected misconduct in public office
- SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
- China Forestry’s former chairman and CEO sanctioned for market misconduct
- SFC hosts workshops to further engage the industry
- SFC and CSRC top management meet in Hong Kong
- SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
- SFC suspends Wang Shian-tang for 26 months
- Conclusion of “Conversations with Global Investors” Seminar of Global Financial Leaders’ Investment Summit
- New speech: Julia Leung’s welcoming remarks at “Conversations with Global Investors” investment forum
- SFC and NFRA top management met in Hong Kong
- SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
- New speech by Kelvin Wong: Keynote speech at HKEX Connect Summit
- SFC sanctions Zuo Ping for breaches of the Takeovers Code
- District Court sets next hearing date for three sophisticated ramp-and-dump cases
- SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
- Ramp-and-dump case against surrendered fugitive transferred to District Court
- SFC bans Jonathan Dominic Iu Wai Ching for 15 years
- SFC hosts forum to encourage responsible Regtech adoption for anti-money laundering and counter-financing of terrorism
- New speech by Julia Leung: Opening remarks at SFC AML/CFT Regtech Forum 2024
- SFC unveils first batch of brokers joining Wealth Management Connect Pilot Scheme
Regulatory News (Oct 2024)
- SFC concludes consultation on market sounding guidelines
- SFC furthers Hong Kong-Saudi Arabia capital market ties on Riyadh visit
- First immediate jail sentence for convicted unlicensed activity with a compensation order
- Encouraging progress made in asset management pilot use case in the Project Ensemble Sandbox
- SFC sets out vision to foster a vibrant fintech ecosystem in Hong Kong
- New speech by Eric Yip: Keynote speech at Hong Kong FinTech Week 2024
- First court hearing on alleged share options fraud case
- SFC obtains court order to freeze $6.35 billion of assets belonging to suspected manipulators of Ding Yi Feng shares
- SFC engages securities industry on regulatory trends and market development
- SFC welcomes Process Review Panel Report 2023-24
- SFC fast-tracks simple fund authorisation to bolster Hong Kong market appeal
- SFC obtains disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.
- Joint Statement on Enhanced Timeframe for New Listing Application Process
- SFC suspends Singh Amit Kishan for seven months
- SFC welcomes appointment and re-appointment of Non-Executive Directors
- SFC welcomes Chief Executive’s measures to boost Hong Kong capital markets
- SFC commences MMT proceedings against Dickson Poon over alleged insider dealing and Dickson Concepts as well as its senior executives for late disclosure of inside information
- SFC reprimands and fines Zheshang International Financial Holdings Co., Limited $2.66 million for regulatory breaches
- Court sets next hearing date for insider dealing case against Segantii Capital Management and its chief investment officer
- SFC welcomes appointment of Chairman
- SFC flags asset manager misconduct in managing private funds and discretionary accounts
- SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months
- SFC reprimands and fines CSC Futures (HK) Limited $4.95 million for regulatory breaches
- SFC concludes consultation on proposals to enhance REIT regime and SFO market conduct regime for listed CIS
- Fugitive ramp-and-dump core suspect arrested in Singapore and surrendered to Hong Kong to face securities fraud charge
- SFC marks 35-year regulatory journey with celebratory gathering
- SFC welcomes voluntary code of conduct for ESG ratings and data products providers
Regulatory News (Sep 2024)
- New public fund depositaries regime comes live on 2 October 2024
- SFC reprimands and fines Profitech Securities Limited $3.99 million for regulatory breaches
- SFC seeks share repurchase order for independent minority shareholders of LET Group Holdings Limited and Summit Ascent Holdings Limited
- SFC and HKMA conclude on further proposals to enhance Hong Kong’s OTC derivatives reporting regime
- Hong Kong’s securities industry extends earnings growth into first half of 2024
- SFC suspends Wilson Cheung Kin for nine months over sponsor failures
- SFC bans Dennis Cheng Chung Sing for six months
- SFC-HKMA joint survey shows strong rebound in sales of investment products in 2023
- New speech by Julia Leung: Speech at The Hong Kong Chartered Governance Institute’s 14th Biennial Corporate Governance Conference
- SFC secures first-of-its-kind settlement to compensate public shareholders of Combest Holdings Limited
- Court sets trial date of four defendants for securities fraud via illegal short selling
- SFC announces arrangements to facilitate distribution of research reports of eligible ETFs under Stock Connect
- SFC issues restriction notice to Kingston Securities Limited to freeze account of client involved in suspected corporate misconduct
- SFC commences legal proceedings against SoftMedx Healthcare Limited, its former directors and de facto directors
- New speech by Christopher Wilson: Keynote speech at GIR Live: Asia-Pacific Investigations Summit 2024
- SFC bans Charles Lam Chung Yiu for life
- SFC issues new guides for visiting and returning professionals to highlight pragmatic licensing options