Regulatory News – Page 4 – CompliancePlus Consulting Limited

Regulatory News (Dec 2021)

December 8, 2021/in Regulatory News /by Tony Chan

Process Review Panel Report 2020-21
Court convicts Wai Chun Holdings Group Limited and its director of Disclosure of Interests Offences
SFC reprimands and fines Grand International Futures Co., Limited $8 million and suspends its responsible officer for regulatory breaches
SFC bans Chu Chun Wai for seven months for supervisory failures
SFC and CSRC hold high-level enforcement cooperation meeting and joint training
Cross-Agency Steering Group announces progress and way forward to advance Hong Kong’s green and sustainable finance development
Hong Kong-Singapore joint operation against suspected cross-border ramp-and-dump syndicate
Consultation on new calculation periods under the OTC derivative clearing rules
SFC to introduce next generation digital licensing platform
SFC reprimands and fines Mason Securities Limited $3.6 million for breaches of anti-money laundering regulatory requirements
SFC publishes review of SEHK’s performance in regulating listing matters
SFC issues quarterly report
SFC bans Poon Chun Hing for life
SFC bans Wang Yu Ching for 10 years

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-12-08 12:52:482022-01-13 17:41:05Regulatory News (Dec 2021)

Regulatory News (Nov 2021)

November 8, 2021/in Regulatory News /by Tony Chan

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

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-11-08 14:43:102021-12-08 12:44:36Regulatory News (Nov 2021)

Regulatory News (Oct 2021)

October 19, 2021/in Regulatory News /by Tony Chan

SFC concludes consultation on conduct requirements for bookbuilding and placing activities
SFC concludes consultation on amendments to the Code on Pooled Retirement Funds
SFC bans Lau Tin Yau for life
Court upholds conviction of Law Sai Hung over unlicensed activities
SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor failures
SFC reprimands and fines Ample Capital Limited $5.5 million and suspends its responsible officer for IPO sponsor failures
Two former senior executives of Convoy Global jailed for conspiracy to defraud
SFC welcomes re-appointment of Chairman and appointment of Non-Executive Directors
Green and Sustainable Finance Cross-Agency Steering Group supports Hong Kong’s Climate Action Plan 2050
SFC-HKMA’s first joint survey signals active investment products market
SFC issues Restriction Notice to HF Asset Management Limited
SFC supports Chief Executive’s initiatives
SFC sets out standards for operational resilience and remote working arrangements

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-10-19 11:37:082021-11-08 14:25:05Regulatory News (Oct 2021)

Regulatory News (Sep 2021)

October 19, 2021/in Regulatory News /by Tony Chan

SFC-ICAC operation leads to conviction of Convoy Global’s former senior executives
SFC concludes consultation on anti-money laundering guidelines
New speech by Tim Lui: Opening address at ACCA Hong Kong Virtual Annual Conference 2021
New synopsis by Christina Choi: Webinar at Hong Kong Securities and Investment Institute

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-10-19 11:24:332021-10-19 11:25:08Regulatory News (Sep 2021)

Regulatory News (Aug 2021)

August 11, 2021/in Regulatory News /by Tony Chan

SFC suspends Cheung Man Chit for two years
SFC alerts the public of unauthorised investment schemes
SFC and Police conduct joint operation against listed company and senior executives in $450 million corporate fraud case
Approval of the launch of an A shares index futures contract
SFC concludes consultation on climate-related risks in funds
SFC issues quarterly report
SFC Executive Director to retire
SFC and ICAC joint operation on listed company’s suspicious money lending activities
SFC to introduce investor identification and OTC securities transaction reporting
SFC reprimands and fines UBS AG and UBS Securities Asia Limited $11.55 million for regulatory breaches

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-08-11 11:15:582021-10-19 11:13:37Regulatory News (Aug 2021)

Regulatory News (Jul 2021)

July 15, 2021/in Regulatory News /by Tony Chan

Statement on Next Digital Limited
Hong Kong’s asset and wealth management business maintained strong growth in 2020
SFC publicly censures BIT Mining Limited for breaches of the Takeovers Code
SFC sanctions Sino-Rich Securities & Futures Limited’s responsible officers
Warning statement on unregulated virtual asset platforms
Cross-Agency Steering Group announces next steps to advance Hong Kong’s green and sustainable finance strategy
SFC obtains court order to disqualify former executive director of Anxin-China Holdings Limited for eight years
SFC and Canadian securities regulators establish Fintech cooperation agreement
SFC and ICAC search a listed company and an underwriter
SFC bans Lau Kwo for 12 months
SFC reprimands and fines Raymond Leung Tak Shing $400,000 for breaches of anti-money laundering regulatory requirements

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-07-15 14:59:212021-08-09 15:21:17Regulatory News (Jul 2021)

Regulatory News (Jun 2021)

June 8, 2021/in Regulatory News /by Tony Chan

SFC publishes Annual Report 2020-21
Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd
SFC publishes new guidance on ESG fund disclosures
SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements
Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
New speech by Ashley Alder: Keynote address at City Week 2021
New speech by Ashley Alder: Keynote address at AIMA APAC Annual Forum 2021
SFC to upgrade industry practitioners’ competency standards
Implementation of Hong Kong-Thailand Mutual Recognition of Funds
Market Misconduct Tribunal sanctions Cheng Chak Ngok for insider dealing in China Gas shares
SFC suspends Lun Sheung Nim for 7.2 months
New speech by Julia Leung: Keynote speech at HKIFA 14th Annual Conference
SFAT allows review for Mr Cai Hongping
Court orders boiler room fraudsters to compensate investors
SFC identifies vaccination as key element of operational risk management

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-06-08 17:22:152021-07-15 14:16:42Regulatory News (Jun 2021)

Regulatory News (May 2021)

May 10, 2021/in Regulatory News /by Tony Chan

SFC supports early vaccination drive
SFC reprimands and fines Ewarton Securities Limited $1.5 million
Appointments and re-appointments to SFC Advisory Committee
SFC warns netizens of online investment scams
SFC steps up efforts to combat IPO-related misconduct
New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021
Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information
Launch of grant scheme for open-ended fund companies and real estate investment trusts

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-05-10 12:06:122021-06-08 17:09:51Regulatory News (May 2021)

Regulatory News (Apr 2021)

April 16, 2021/in Regulatory News /by Tony Chan

SFC and Police joint operation against listed company and senior executives
SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life
New speech by Tim Lui: Speech at National Security Education Day
New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021
SFC reprimands and fines Optimas Capital Limited $1.05 million over short position reporting failures
Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
Court acquits solicitor of insider dealing in shares of CASH Financial Services Group Limited
Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares
Arrest warrant issued for alleged social media ramp-and-dump manipulator

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-04-16 11:58:342021-05-10 12:00:19Regulatory News (Apr 2021)

Regulatory News (Mar 2021)

March 9, 2021/in Regulatory News /by Tony Chan

SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches
Appointments to SFC committees
SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches
SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited
SFC welcomes appointment and re-appointment of Non-Executive Directors
SFC reprimands and fines Yardley Securities Limited $5 million for breaches of anti-money laundering regulatory requirements
SFC issues restriction notices to 15 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
SFC reprimands and fines Sino-Rich Securities & Futures Limited $7.2 million for breaches of anti-money laundering regulatory requirements
Market Misconduct Tribunal sanctions Magic Holdings International Limited and its directors for late disclosure of inside information
SFC and Police joint operation against suspected ramp-and-dump syndicate
SFC obtains disqualification orders against former senior executives and officers of Shandong Molong Petroleum Machinery Company Limited

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2021-03-09 12:41:182021-04-16 11:46:24Regulatory News (Mar 2021)

Page 4 of 14«‹2 345 6 ›»