Regulatory News (May 2018)
- SFC reprimands and fines Hang Seng Investment Management Limited $3 million for regulatory breaches over funds’ cash management
- SFC reprimands and fines Noah Holdings (Hong Kong) Limited HK$5 million for regulatory breaches
- SFC concludes consultation on disclosure requirements for discretionary accounts
- Update on the SFC’s real-time regulation
- SFC concludes consultation on new OFC Rules and OFC Code
- SFC concludes consultation on prescribing professional investors
- SFC reprimands and fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
- New speech by Brian Ho: Keynote speech at Sixth Annual Institute on Corporate & Securities Law in Hong Kong 2018
- SFC highlights concerns noted in licensing applications
- SFC commences MMT proceedings against Magic Holdings International Limited and its directors for late disclosure of inside information
- SFC adopts IOSCO’s enhanced standard for cross-border enforcement cooperation
- Licence applicant convicted of providing false information to SFC
- SFC CEO reappointed Chair of IOSCO Board
- SFC provides guidance on use of instant messaging