Regulatory News (Nov 2024)
- SFC and ICAC jointly investigate suspected misconduct in public office
- SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
- China Forestry’s former chairman and CEO sanctioned for market misconduct
- SFC hosts workshops to further engage the industry
- SFC and CSRC top management meet in Hong Kong
- SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
- SFC suspends Wang Shian-tang for 26 months
- Conclusion of “Conversations with Global Investors” Seminar of Global Financial Leaders’ Investment Summit
- New speech: Julia Leung’s welcoming remarks at “Conversations with Global Investors” investment forum
- SFC and NFRA top management met in Hong Kong
- SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
- New speech by Kelvin Wong: Keynote speech at HKEX Connect Summit
- SFC sanctions Zuo Ping for breaches of the Takeovers Code
- District Court sets next hearing date for three sophisticated ramp-and-dump cases
- SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
- Ramp-and-dump case against surrendered fugitive transferred to District Court
- SFC bans Jonathan Dominic Iu Wai Ching for 15 years
- SFC hosts forum to encourage responsible Regtech adoption for anti-money laundering and counter-financing of terrorism
- New speech by Julia Leung: Opening remarks at SFC AML/CFT Regtech Forum 2024
- SFC unveils first batch of brokers joining Wealth Management Connect Pilot Scheme