Regulatory News (Jun 2023)
- Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
- SFC and Exchange sign second addendum to MoU governing listing matters
- Cross-Agency Steering Group welcomes publication of IFRS Sustainability Disclosure Standards
- New speech by Julia Leung: Keynote speech at ASIFMA China Capital Markets Conference
- SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited
- Four people charged following SFC and Police joint operation against securities fraud and illegal short selling
- New speech by Julia Leung: Keynote Speech at Executive Dinner organised by the Hong Kong Economic and Trade Office in Bangkok, Office for Attracting Strategic Enterprises and InvestHK
- SFC publishes Annual Report 2022-23
- SFC reprimands and fines Taiping Securities (HK) Co Limited $1.3 million for internal control failures over employee dealings
- Appointments and re-appointments to SFC Advisory Committee
- CSRC and SFC hold high-level meeting in Hong Kong
- SFC issues restriction notice to Global Group Securities Limited
- SFC bans Xie Yangxiong for life
- SFC updates guidance to prepare for HKD-RMB Dual Counter Model
- SFC concludes consultation on the position limit regime
- New speech by Julia Leung: Keynote speech at HKIFA 16th Annual Conference
Regulatory News (May 2023)
- SFC and Police joint operation against a suspect of illegal short selling and fraudulent activities
- Licence applicant convicted of providing false information to the SFC
- SFC obtains disqualification orders against former directors of Luxey International (Holdings) Limited
- SFC concludes consultation on regulation of virtual asset trading platforms
- SFC consults on revisions to takeovers and share buy-back rules
- Ramp-and-dump suspect arrested for breaches of court bail conditions
- SFC reprimands and fines China On Securities Limited $6 million for failures as share placement agent
- New speech by Julia Leung: Luncheon remarks at Hong Kong REITS Association
- SFC welcomes appointment of Executive Director
- Swap Connect commences today
- The People’s Bank of China, Securities and Futures Commission and Hong Kong Monetary Authority to commence mutual access between the Mainland and Hong Kong interest rate swap markets
- SFC commences MMT proceedings against former bank employee over alleged insider dealing
- SFC obtains court order to freeze assets of suspected insider dealers of I.T Limited shares
Regulatory News (Apr 2023)
- SFC welcomes Stock Exchange consultation on climate-related reporting requirements for listed companies
- New speech by Keith Choy: Keynote Speech at Hong Kong Web3 Festival 2023
- SFC reprimands and fines Ninety One Hong Kong Limited $1.4 million for unlicensed futures trading
- Suspected core member of syndicate charged in ramp-and-dump case
- Six more charged in SFC and Police joint operation against sophisticated ramp-and-dump syndicate