Archive for year: 2024

• SFC sets clear timeline for implementing an uncertificated securities market in Hong Kong
• SFC and CSRC hold high-level enforcement cooperation meeting
• Enduring strength of Hong Kong as leading international asset and wealth management hub: SFC survey 2023
• First District Court hearings for 18 defendants in three social media ramp-and-dump cases
• New speech by Julia Leung: Keynote address at Bond Connect Anniversary Summit 2024
• SFC and HKMA welcome PBoC’s new measure on Northbound Swap Connect margin collateral arrangement
• SFC to launch new online application and submission system for investment products
• SFC warns public of seven entities for suspected virtual asset-related fraud
• Court convicts and fines Tse Tsun Wai for unlicensed activity
• Hedge fund manager ordered to disgorge $5.6 million illicit profit from false trading and disqualified for four years
• First District Court hearing on insider dealing case against Segantii Capital Management and its chief investment officer

• Top executives of SFC and DFSA meet in Dubai to extend market ties
• Market manipulators convicted in landmark High Court jury trial
• SFC top executives visit Saudi Arabia and UAE to foster financial services collaboration
• SFC statement on the end of non-contravention period for virtual asset trading platforms
• SFC suspends Wong Ka Ching for four years
• SFC bans Cheung Wing Hung for 18 months
• SFC and Abu Dhabi’s FSRA hold high-level meeting in Athens
• Pre-trial review fixed for false trading in shares of China All Access (Holdings) Limited
• Two former brokers jailed for three months each for false trading
• SFC welcomes industry-led public consultation on voluntary code of conduct for ESG ratings and data products providers
• SFC facilitates broadening of master-feeder ETFs offerings in Hong Kong
• SFC warns public of suspicious investment plan relating to Big Boss Night Club
• SFC warns public of suspicious virtual asset-related product “LENA Network”
• Joint press release of the PBoC, the SFC and the HKMA on Swap Connect enhancements to advance high-quality opening-up of China’s financial markets
• SFC warns public of Quantum AI for suspected virtual asset-related fraud
• SFC obtains interlocutory asset freezing order against Leung Anita Fung Yee Maria
• SFC commences insider dealing prosecution against Segantii Capital Management and its chief investment officer

 

• New speech by Christina Choi: Speech at the listing ceremony of first bitcoin and ether spot ETFs
• Three-year extension of grant scheme for open-ended fund companies and real estate investment trusts
• Court convicts two former licensees of false trading
• Case consolidation for first ramp-and-dump criminal prosecution at District Court
• SFC and HKEX collaborate in enforcement action against Main Board-listed company over dubious investment and financial arrangements
• SFC issues restriction notices to two brokers to freeze accounts of client involved in suspected corporate misconduct
• SFC cautions public against bogus calls purportedly from SFC
• SFC commences MMT proceedings against Dan Form’s company secretary and three others over suspected insider dealing
• SFC warns public of CBEX Group and Bitget Pro for suspected virtual asset-related fraud
• SFC’s statement on New Sparkle Roll International’s announcement
• SFC welcomes SEHK’s conclusions on climate-related disclosure requirements for listed companies
• SFC welcomes CSRC’s announcement of five measures on capital market cooperation with Hong Kong
• HKMA and SFC consult on annual updates to Financial Services Providers list under OTC derivatives regulatory regime
• SFC suspends dealings in Tianyun International Holdings Limited shares over massive missing corporate funds
• SFC warns public of TCAME and BitCloud for suspected virtual asset-related fraud
• SFC encourages licensed corporations to participate in Anti-Scam Charter 2.0
• New speech by Julia Leung: Keynote speech at HSBC Global Investment Summit
• SFC obtains court orders against former director and chief financial officer of Changgang Dunxin Enterprise Company Limited
• SFC warns public of suspicious investment products offered by ProCap International
• SFC and DFSA co-host high-level roundtable on distributing Hong Kong funds in Dubai International Financial Centre
• SFC warns public against unlicensed virtual asset trading platform Sure X

• SFC regulatory symposium fosters a more connected Asia-Pacific
• New speech by Julia Leung: Closing remarks at SFC Regional Securities Regulatory Leadership Symposium
• SFC warns public of suspicious crypto-related product “Yieldnodes.com masternode pool”
• New speech by Julia Leung: Moderator’s remarks at SFC Regional Securities Regulatory Leadership Symposium
• New speech by Tim Lui: Welcoming remarks at SFC Regional Securities Regulatory Leadership Symposium
• SFC welcomes government budget measures
• SFC secures first criminal conviction of securities fraud via illegal short selling
• First ramp-and-dump criminal prosecution at District Court commences
• SFC commences proceedings against Ding Yi Feng former chairman and to seek compensation for investors
• New speech by Julia Leung: Speech at Launch Ceremony of Greenhouse Gas Emissions Calculation and Estimation Tools
• Cross-Agency Steering Group launches revamped website for sustainable finance
• New greenhouse gas emissions calculation and estimation tools to support sustainability reporting
• Financial leaders to gather at SFC symposium to chart Asian markets’ way forward
• SFC warns public of suspicious investment products offered by Free Guy, Gold Scalper and Gold Champ
• SFC suspends dealings in the shares of LET Group Holdings Limited and Summit Ascent Holdings Limited
• SFC and Police warn public of MEXC for suspected virtual asset-related fraud
• The first ramp-and-dump case transferred to District Court
• SFC welcomes appointment of Executive Director
• SFC warns public of suspicious crypto-related product “Hong Kong International Financial Centre Token”
• SFC obtains court order to disqualify former chief financial officer of Fuguiniao Co., Ltd for two years
• SFC bans Lam Ching Chiu and Wong Siu Fung for five years
• SFC reprimands and fines PICC Asset Management (Hong Kong) Company Limited $2.8 million for fund management failures
• SFC urges investors to check regulatory status of virtual asset trading platforms as transition period will end soon