Regulatory News (Apr 2020)
- Unlicensed fund manager sentenced to community service
- SFC signs MoU with Competition Commission
- SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited
- SFC cautions on crude oil futures and ETFs
- SFC regulatory response to COVID-19
- SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures
- SFC scrutinises leveraged foreign exchange trading
- Joint consultation conclusions on the model for an uncertificated securities market
- SFC reprimands and fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for regulatory breaches over funds’ cash management
- SFC issues restriction notice to Agg. Asset Management Limited
- Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation