Regulatory News (Oct 2021)
- SFC concludes consultation on conduct requirements for bookbuilding and placing activities
- SFC concludes consultation on amendments to the Code on Pooled Retirement Funds
- SFC bans Lau Tin Yau for life
- Court upholds conviction of Law Sai Hung over unlicensed activities
- SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor failures
- SFC reprimands and fines Ample Capital Limited $5.5 million and suspends its responsible officer for IPO sponsor failures
- Two former senior executives of Convoy Global jailed for conspiracy to defraud
- SFC welcomes re-appointment of Chairman and appointment of Non-Executive Directors
- Green and Sustainable Finance Cross-Agency Steering Group supports Hong Kong’s Climate Action Plan 2050
- SFC-HKMA’s first joint survey signals active investment products market
- SFC issues Restriction Notice to HF Asset Management Limited
- SFC supports Chief Executive’s initiatives
- SFC sets out standards for operational resilience and remote working arrangements