SFC

SFC warns against online investment scams
SFC warns against online investment scams 1400 788 Hauzen LLP
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:-
Financial Services Regulation

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 LLP
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 LLP
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 LLP

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 LLP
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 LLP
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 LLP
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 LLP
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.
Financial Services Regulation

SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners
SFC’s Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners 1920 1080 Hauzen LLP
In December 2020, the SFC published a Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners.
Financial Services Regulation

SFC, HKEx Directed to Explore SPAC Listings in Hong Kong
SFC, HKEx Directed to Explore SPAC Listings in Hong Kong 1920 1080 Hauzen LLP
March 2021, SFC and HKEx briefed a forum of top financial leaders in Hong Kong about the latest developments in Special Purpose Acquisition Companies (SPACs)
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