Regulatory News (Nov 2022)
- SFC and CSRC hold high-level enforcement cooperation meeting
- SFC consults on risk management guidelines for futures dealing activities
- Suspected syndicate leader charged in connection with ramp-and dump schemes
- Court orders Hong Kong Wan Kiu Investment Company Limited and its connected entities to compensate clients
- SFC concludes consultation on the position limit regime and proposes further changes
- SFC and ICAC joint operation against sophisticated ramp-and-dump syndicate
- Wong King Hoi jailed for obstruction of SFC’s search operation
- SFC reprimands and fines Swiss-Asia Asset Management (HK) Limited $3 million for regulatory breaches