Securities Regulation

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited

The Securities and Futures Commission (the “SFC”) reprimanded and fined Ewarton Securities Limited 1400 788 Hugo

The Securities and Futures Commission reprimanded and fined Ewarton Securities Limited for internal control failings and breaches of the SFC’s Code of Conduct.

Market Misconduct Tribunal sanctions two former executives for insider dealing

Market Misconduct Tribunal sanctions two former executives for insider dealing 1402 790 Louise

In April 2021, following legal proceedings brought by the SFC, the MMT sanctioned two former executives of Asia Telemedia Limited (now known as Yunfeng Financial Group Limited) – Mr Charles Yiu Hoi Ying and Ms Marian Wong Nam.

SFC Press Release – Investigation Updates

SFC Press Release – Investigation Updates 1400 788 Charing

SFC and Police launched joint operation against listed company and senior executives for market misconduct, and revoke revokes IDS Forex HK Limited’s licence and permanently bans its former co-CEOs from re-entering the industry.

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme

The Insurance Authority welcomes Pilot Insurance-linked Securities Grant Scheme 1401 789 Louise

The Financial Secretary the Paul Chan delivered his 2021-22 budget speech on 24 February 2021 proposing to launch a two-year pilot insurance-linked securities grant scheme to attract insurance enterprises or organisations to issue insurance-linked securities in Hong Kong.

FSTB Consultation paper on new licensing regime for virtual assets services providers

FSTB Consultation paper on new licensing regime for virtual assets services providers 1400 787 Charing

FSTB published consultation paper proposeing to introduce a licensing regime for virtual assets services providers (“VASPs”).  The consultation period ended on 31 January 2021.

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts

Consultation Conclusions on Proposed Amendments to the Code on Real Estate Investment Trusts 1401 789 Louise

On 9 June 2020, the Securities and Futures Commission (the “SFC”) issued a Consultation Paper on the Proposed Amendments to the Code on Real Estate Investment Trusts (the “REITs”) (the…

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines

SFC’s Consultation Paper on proposal to amend its Anti-Money Laundering and Counter-Financing of Terrorism Guidelines 1400 788 Louise

The SFC published a consultation paper on proposed amendments to (1) the Guideline on AML/CFT (For Licensed Corporations) and (2) the Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities

SFC consults on conduct requirements for bookbuilding and placing activities

SFC consults on conduct requirements for bookbuilding and placing activities 1402 790 Louise

On 8 February 2021, the Securities and Futures Commission published a consultation paper on conduct requirements for capital market transactions in Hong Kong.

SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds

SFC’s Consultation Paper on amendments to the Code on Pooled Retirement Funds 1400 788 Charing

The comment period of the Securities and Future Commission’s (“SFC”) public consultation paper (the “Consultation”) on proposed amendments to the Code on Pooled Retirement Funds (the “Code”) has recently come to an end.

SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers

SFC consults on the Management and Disclosure of Climate-related Risks by Fund Managers 1400 787 Louise

In October 2020, the SFC published a consultation paper on the Management and Disclosure of Climate-related Risks by Fund Managers proposing to amend the Fund Manager Code of Conduct.

  • 1
  • 2
Back to top
Privacy Preferences

When you visit our website, it may store information through your browser from specific services, usually in the form of cookies. Here you can change your Privacy preferences. It is worth noting that blocking some types of cookies may impact your experience on our website and the services we are able to offer.

Click to enable/disable Google Analytics tracking code.
Click to enable/disable Google Fonts.
Click to enable/disable Google Maps.
Click to enable/disable video embeds.
Our website uses cookies, mainly from 3rd party services. Define your Privacy Preferences and/or agree to our use of cookies.