Regulatory News (Jul 2022)
- SFC bans Chan Ka Hey for 6 months
- SFC reprimands and fines KTF Capital Management Limited $400,000 for breaching Financial Resources Rules
- SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches
- Appointments to Disciplinary Chair Committee
- Hong Kong’s asset and wealth management business remained resilient in 2021
- SFC reprimands and fines RBC Investment Services (Asia) Limited $7.7 million for mishandling client assets
- SFC bans Lam Ki Fung for three years
- SFC welcomes re-appointment of Non-Executive Directors
- SFC welcomes re-appointment of Executive Directors
- Chief Executive Officer to leave SFC
- SFC and Police joint operation on suspected corporate fraud
- Regulators announce development of Swap Connect