Category Archives: Lastest Topics

Circular on Operation of Bank accounts

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Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information

12 May 2021 The Market Misconduct Tribunal (MMT) has fined China Medical & HealthCare Group [...]

Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares

[Enforcement] 7 Apr 2021 The Market Misconduct Tribunal (MMT) has sanctioned two former executives of [...]

Circular to intermediaries, responsible officers and licensed representatives Waiver of annual licensing fees

19 Mar 2021 The Securities and Futures Commission (SFC) will waive the annual licensing fees [...]

[Regulatory Updates] Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism

(1)  FATF Statement on High-Risk Jurisdictions subject to a Call for Action Further to our [...]

SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures

 22 Feb 2021  The SFC has reprimanded Brilliance Asset Management Limited (Brilliance) and fined it [...]

SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam

9 Feb 2021 The Securities and Futures Commission (SFC) has issued restriction notices to Enlighten [...]

Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited share

3 Feb 2021 The Market Misconduct Tribunal (MMT) has ordered that Ms Li Yik Shuen [...]

AML/CFT Regtech: Case Studies and Insights

21 Jan 2021 HKMA published today (21 January 2021) a report titled “AML/CFT Regtech: Case [...]

HKEX STATEMENT ON STRUCTURED PRODUCTS

10 Jan 2021 Hong Kong Exchanges and Clearing Limited (HKEX) notes the decision to delist [...]