Category Archives: Lastest Topics

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 [...]

EXCHANGE’S DISCIPLINARY ACTION AGAINST SANDMARTIN INTERNATIONAL HOLDINGS LIMITED (STOCK CODE: 482) AND EIGHT OF ITS CURRENT AND FORMER DIRECTORS

22 Jan 2021  This case involves a settlement between the Company, the Relevant Directors (apart [...]

Exchange’s Disciplinary Action against Xinming China Holdings Limited and its executive director

08 Jan 2021 Xinming China Holdings Limited (Stock Code: 2699) (“Company”); and Mr Chen Cheng [...]

SFC reprimands and fines Fulbright Securities Limited $3.6 million

 23 Dec 2020 SFC has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million [...]

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

23 Dec 2020 SFC today released consultation conclusions on proposed customer due diligence requirements for [...]

SFC licenses first virtual asset trading platform

16 Dec 2020 The Securities and Futures Commission (SFC) announces that it has granted the [...]