Regulatory News (Sep 2024)
- New public fund depositaries regime comes live on 2 October 2024
- SFC reprimands and fines Profitech Securities Limited $3.99 million for regulatory breaches
- SFC seeks share repurchase order for independent minority shareholders of LET Group Holdings Limited and Summit Ascent Holdings Limited
- SFC and HKMA conclude on further proposals to enhance Hong Kong’s OTC derivatives reporting regime
- Hong Kong’s securities industry extends earnings growth into first half of 2024
- SFC suspends Wilson Cheung Kin for nine months over sponsor failures
- SFC bans Dennis Cheng Chung Sing for six months
- SFC-HKMA joint survey shows strong rebound in sales of investment products in 2023
- New speech by Julia Leung: Speech at The Hong Kong Chartered Governance Institute’s 14th Biennial Corporate Governance Conference
- SFC secures first-of-its-kind settlement to compensate public shareholders of Combest Holdings Limited
- Court sets trial date of four defendants for securities fraud via illegal short selling
- SFC announces arrangements to facilitate distribution of research reports of eligible ETFs under Stock Connect
- SFC issues restriction notice to Kingston Securities Limited to freeze account of client involved in suspected corporate misconduct
- SFC commences legal proceedings against SoftMedx Healthcare Limited, its former directors and de facto directors
- New speech by Christopher Wilson: Keynote speech at GIR Live: Asia-Pacific Investigations Summit 2024
- SFC bans Charles Lam Chung Yiu for life
- SFC issues new guides for visiting and returning professionals to highlight pragmatic licensing options