Regulatory News (Jun 2024)
- SFC secures conviction for provision of paid investment advice on Telegram chat group without licence
- SFC suspends Shum Wai Nap for seven months for failures in managing a private fund
- Three sophisticated ramp-and-dump cases transferred to District Court
- SFC’s 35th year and beyond: guiding Hong Kong’s capital markets with mission and vision
- Market manipulation case adjourned for sentencing
- SFC bans Ha Po Kwan for 12 months
- SFC welcomes progress on implementation of Mainland-Hong Kong Mutual Recognition of Funds enhancements
- SFC briefs virtual asset trading platform applicants on regulatory expectations after transition period ends
- Insider dealing case against Segantii Capital Management and its chief investment officer transferred to District Court
- SFC cooperates with BCSC in obtaining preservation orders against Leung Anita Fung Yee Maria in British Columbia, Canada
- New speech by Julia Leung: Speech at Greenwich Economic Forum Hong Kong
- SFC meets Capital Market Authority and Saudi Tadawul Group in Saudi Arabia