Regulatory News (Jun 2021)
- SFC publishes Annual Report 2020-21
- Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd
- SFC publishes new guidance on ESG fund disclosures
- SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements
- Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
- New speech by Ashley Alder: Keynote address at City Week 2021
- New speech by Ashley Alder: Keynote address at AIMA APAC Annual Forum 2021
- SFC to upgrade industry practitioners’ competency standards
- Implementation of Hong Kong-Thailand Mutual Recognition of Funds
- Market Misconduct Tribunal sanctions Cheng Chak Ngok for insider dealing in China Gas shares
- SFC suspends Lun Sheung Nim for 7.2 months
- New speech by Julia Leung: Keynote speech at HKIFA 14th Annual Conference
- SFAT allows review for Mr Cai Hongping
- Court orders boiler room fraudsters to compensate investors
- SFC identifies vaccination as key element of operational risk management