Regulatory News (Oct 2024)
- SFC concludes consultation on market sounding guidelines
- SFC furthers Hong Kong-Saudi Arabia capital market ties on Riyadh visit
- First immediate jail sentence for convicted unlicensed activity with a compensation order
- Encouraging progress made in asset management pilot use case in the Project Ensemble Sandbox
- SFC sets out vision to foster a vibrant fintech ecosystem in Hong Kong
- New speech by Eric Yip: Keynote speech at Hong Kong FinTech Week 2024
- First court hearing on alleged share options fraud case
- SFC obtains court order to freeze $6.35 billion of assets belonging to suspected manipulators of Ding Yi Feng shares
- SFC engages securities industry on regulatory trends and market development
- SFC welcomes Process Review Panel Report 2023-24
- SFC fast-tracks simple fund authorisation to bolster Hong Kong market appeal
- SFC obtains disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.
- Joint Statement on Enhanced Timeframe for New Listing Application Process
- SFC suspends Singh Amit Kishan for seven months
- SFC welcomes appointment and re-appointment of Non-Executive Directors
- SFC welcomes Chief Executive’s measures to boost Hong Kong capital markets
- SFC commences MMT proceedings against Dickson Poon over alleged insider dealing and Dickson Concepts as well as its senior executives for late disclosure of inside information
- SFC reprimands and fines Zheshang International Financial Holdings Co., Limited $2.66 million for regulatory breaches
- Court sets next hearing date for insider dealing case against Segantii Capital Management and its chief investment officer
- SFC welcomes appointment of Chairman
- SFC flags asset manager misconduct in managing private funds and discretionary accounts
- SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months
- SFC reprimands and fines CSC Futures (HK) Limited $4.95 million for regulatory breaches
- SFC concludes consultation on proposals to enhance REIT regime and SFO market conduct regime for listed CIS
- Fugitive ramp-and-dump core suspect arrested in Singapore and surrendered to Hong Kong to face securities fraud charge
- SFC marks 35-year regulatory journey with celebratory gathering
- SFC welcomes voluntary code of conduct for ESG ratings and data products providers