SFC

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

Joint statement on IPO-related misconduct
Joint statement on IPO-related misconduct 1920 1080 Hauzen
On 20 May 2021, SFC and HKEx issued a joint statement setting out the general approach taken by them to address regulatory issues formed in recent new listings.  The statement described how the regulators would deploy their respective powers under the SFO, the SMLR and the Listing Rules to tackle issues that mainly involved suspected arrangements to artificially satisfy the initial listing requirements, or facilitate market manipulation of the shares after the IPO.

SFC warns against online investment scams
SFC warns against online investment scams 1400 788 Hauzen
The Securities and Futures Commission has recently concluded an online campaign alerting the public about the use of online platforms to defraud investors. There are many ways to ascertain and verify the identity of the counter-party on the other end of the deal.  Here are some ways to avoid falling victim to investment scams:-

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information
Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information 1920 1080 Hauzen
On 12 May 2021, MMT fined China Medical & HealthCare Group Limited, formerly known as COL Capital Limited, and six of its former and current directors a total of $4.2 million for failing to disclose inside information as soon as reasonably practicable following proceedings brought by the SFC.

SFC Press Release – Investigation Updates
SFC Press Release – Investigation Updates 1400 788 Hauzen
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.

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 Hauzen

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 Hauzen
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 Hauzen
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 150 150 Hauzen
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 788 Hauzen
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.
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