Regulatory News (Sep 2023)
- SFAT affirms SFC decision to ban Calvin Choi Chi Kin for two years
- SFC publishes lists of virtual asset trading platforms
- New speech by Christopher Wilson: Speech at Directors’ Symposium of the Hong Kong Institute of Directors
- Enhancements to the Cross-boundary Wealth Management Connect Pilot Scheme Strengthening Financial Market Connectivity in the GBA
- SFC-HKMA joint product survey in 2022 shows shifts to investments in money market funds
- New speech by Rico Leung: Keynote speech at ISDA Derivatives Trading Forum
- New speech by Christina Choi: Keynote speech at Bloomberg Buy-Side Forum 2023
- SFC obtains interim injunction against former director of SMI Culture & Travel Group Holdings Limited
- SFC steps up information dissemination and investor education on VATPs
- SFC amends takeovers and share buy-backs codes
- Statement on JPEX
- SFC bans Lo Wai Ming for seven months
- SFC reprimands and fines Chee Tak Securities Limited $2 million and sanctions its responsible officer for regulatory breaches
- Warning statement on unregulated virtual asset trading platform
- SFC revokes Axial Capital Management Limited’s licence and suspends its responsible officer for five years
- Court appoints administrators for Vantage New Generation Securities Limited
Regulatory News (Aug 2023)
- SFC and ICAC conduct joint operation against suspected market manipulation syndicate and Restriction Notices issued by the SFC to six brokers to freeze client accounts
- Regulators conclude consultation on revising OTC derivative Clearing Rules
- SFC concludes consultation on risk management guidelines for futures dealing activities
- SFC issues quarterly report
- SFC reprimands and fines China Industrial Securities International Brokerage Limited $3.5 million for internal control failures
- SFC fines Changjiang Corporate Finance (HK) Limited $20 million and suspends its licence for serious and extensive sponsor failures
- Securities fraud and illegal short selling case transferred to District Court
- Regulators reach consensus on introducing block trading under Stock Connect
- Market Misconduct Tribunal finds Mayer Holdings Limited and its former senior management for late disclosure of inside information
- SFC concludes consultation on amendments to enforcement-related provisions of the Securities and Futures Ordinance
- Warning: Virtual asset trading platforms engaging in improper practices
- Cross-Agency Steering Group announces priorities to further strengthen Hong Kong’s sustainable finance ecosystem
- Hong Kong’s asset and wealth management business fared on par with global markets in 2022
- Suspected core members of sophisticated syndicate charged in ramp-and-dump case