Regulatory News (Oct 2024)
- 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