SFC

Enforcement Update: Landmark Market Manipulation Criminal Trial
Enforcement Update: Landmark Market Manipulation Criminal Trial 1400 788 Hauzen
3 convicted for market manipulation marking heaviest jail terms post-SFO enactment. More about how this Syndicate’s complex scheme led to HK$124M in profits.

Tokenization of SFC-Authorised Products
Tokenization of SFC-Authorised Products 1400 788 Basil Hwang
Our key takeaways from the November 2023 SFC circular regarding the primary dealing of tokenised retail SFC-authorised products.

Extension of Grant Scheme for OFC & REIT
Extension of Grant Scheme for OFC & REIT 1400 787 Hauzen
SFC announced 3yr extension of grant scheme to subsidise setting up of open-ended fund companies and real estate investment trusts in Hong Kong – open for applications 10 May 2024.

HKCFA Upholds SFC’s Powers Against Foreign Defendants
HKCFA Upholds SFC’s Powers Against Foreign Defendants 1920 1081 Hauzen
The Hong Kong CFA confirms the SFC’s power to seek various orders from the Hong Kong court against foreign defendants without requiring leave.

Sponsors Still Taking the Rap for Listing Fraud
Sponsors Still Taking the Rap for Listing Fraud 1400 788 Greg Heaton
When listing frauds unravel, regulators usually focus on finding fault with the sponsors. Sponsors face significant regulatory risks for limited financial gain.

How Sponsors Became Gatekeepers of HKEX
How Sponsors Became Gatekeepers of HKEX 1400 787 Greg Heaton
Thirty years ago, Tsingtao Brewery became the first mainland Chinese company to list on HKEX. Over 1400 others followed, scams included.

SFC’s Warning on Unregulated VATP JPEX
SFC’s Warning on Unregulated VATP JPEX 1400 788 Hauzen
Hong Kong’s Securities and Futures Commission issued a warning statement clarifying that JPEX is an unlicensed entity and warned the public to be cautious.

Guide to Obtaining a VASP Licence in Hong Kong
Guide to Obtaining a VASP Licence in Hong Kong 1400 788 Hauzen
A simplified guide to requirements virtual asset trading platforms (or cryptocurrency exchanges) must meet to obtain a virtual asset service provider licence. 

SFC Conclusion on New Regulatory Regime for Virtual Asset Trading Platform Operators
SFC Conclusion on New Regulatory Regime for Virtual Asset Trading Platform Operators 1400 788 Hauzen
We believe the new framework will help to establish Hong Kong as a virtual asset (“VA”) hub and attract quality crypto service providers to obtain a license.
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Hong Kong SPACs’ Bedazzling Debut – Act II
Hong Kong SPACs’ Bedazzling Debut – Act II 1400 787 Greg Heaton
While a honeypot to some celebrities, tycoons and their professional advisors, SPACs have by and large been disastrous for everybody else.
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