Regulatory News (Jan 2024)
- Suspected core syndicate member charged in ramp-and dump case
- SFC and National Financial Regulatory Administration top management meet in Hong Kong
- SFC warns public of suspicious crypto-related products “Floki Staking Program” and “TokenFi Staking Program”
- SFC cautions public against impersonators of SFC CEO
- SFC issues guidance to eligible licensed corporations on participation in Wealth Management Connect scheme
- SFC sets out three-year strategic priorities
- SFC regulatory symposium to debut in late February
- SFC and Police warn public of Aramex and DIFX for suspected virtual asset-related frauds
- SFC warns public of suspicious investment products offered by Eternity Prime Limited
- SFC cautions public against impersonators of senior SFC executives
- New TV drama highlights SFC’s enforcement work
- SFC suspends Andy Wong Yeung for 10 months
- Cross-Agency Steering Group announces key initiatives to support Hong Kong in capitalising sustainable finance opportunities
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