Archive for category: Regulatory News

Regulatory News (Aug 2023)

August 10, 2023/in Regulatory News /by Tony Chan

SFC and ICAC conduct joint operation against suspected market manipulation syndicate and Restriction Notices issued by the SFC to six brokers to freeze client accounts
Regulators conclude consultation on revising OTC derivative Clearing Rules
SFC concludes consultation on risk management guidelines for futures dealing activities
SFC issues quarterly report
SFC reprimands and fines China Industrial Securities International Brokerage Limited $3.5 million for internal control failures
SFC fines Changjiang Corporate Finance (HK) Limited $20 million and suspends its licence for serious and extensive sponsor failures
Securities fraud and illegal short selling case transferred to District Court
Regulators reach consensus on introducing block trading under Stock Connect
Market Misconduct Tribunal finds Mayer Holdings Limited and its former senior management for late disclosure of inside information
SFC concludes consultation on amendments to enforcement-related provisions of the Securities and Futures Ordinance
Warning: Virtual asset trading platforms engaging in improper practices
Cross-Agency Steering Group announces priorities to further strengthen Hong Kong’s sustainable finance ecosystem
Hong Kong’s asset and wealth management business fared on par with global markets in 2022
Suspected core members of sophisticated syndicate charged in ramp-and-dump case

Regulatory News (Jul 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (Jun 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (May 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (Apr 2023)

April 17, 2023/in Regulatory News /by Tony Chan

Regulatory News (Mar 2023)

March 28, 2023/in Regulatory News /by Tony Chan

Regulatory News (Feb 2023)

February 23, 2023/in Regulatory News /by Tony Chan

Regulatory News (Jan 2023)

February 1, 2023/in Regulatory News /by Tony Chan

Regulatory News (Dec 2022)

February 1, 2023/in Regulatory News /by Tony Chan

Regulatory News (Nov 2022)

November 21, 2022/in Regulatory News /by Tony Chan