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