Regulatory News (Jun 2019)
- Regulators conclude consultation on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
- SFC and ICAC search sponsor firms
- Market Misconduct Tribunal fines Health and Happiness and its chairman $3.2 million in total for late disclosure of inside information
- SFC issues restriction notices to 14 brokers to freeze client accounts linked to suspected market manipulation of Smartac Group China Holdings Limited
- SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
- SFAT affirms SFC decision to reprimand and fine FT Securities Limited $3.5 million
- New speech by Julia Leung: Keynote speech at 2019 Risk Hong Kong Conference
- SFC reprimands and fines Credit Suisse (Hong Kong) Limited and Credit Suisse AG $2.8 million for regulatory breaches
- SFC publishes Annual Report 2018-19
- New speeches by Julia Leung: Opening remarks at SFC Compliance Forum 2019
- SFC and CSRC hold high-level enforcement cooperation meeting
- New speech by Tim Lui: Speech at Hong Kong Institute of Directors Speaker Luncheon Meeting
- SFC seeks disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.