Regulatory News (Nov 2021)
- Executive Director – Enforcement
- SFC issues restriction notices to two brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam
- SFC Regulatory Forum explores Hong Kong’s future role as China’s international financial centre
- Court finds trio engaged in insider dealing in TeleEye shares
- SFC bans Ma Kwok Ho and Gee King Yip
- Green and Sustainable Finance Cross-Agency Steering Group reaffirms commitment to develop Hong Kong as a green finance hub
- New speech by Ashley Alder: Keynote speech at Green Horizon Summit @ COP26
- New speech by Julia Leung: Keynote address at Hong Kong FinTech Week 2021
- SFC reprimands and fines Fulbright Securities Limited $3.3 million and suspends its responsible officer for internal control failures