Category Archives: Lastest Topics

Former licensee convicted of providing false or misleading information to SFC

3 Sep 2020 The Eastern Magistrates’ Court today convicted Mr Lau Tin Yau in a [...]

SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements

2 Sep 2020 The SFC today released consultation conclusions on enhancements to the open-ended fund [...]

SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited

31 Aug 2020 The Eastern Magistracy has issued arrest warrants for Mr Ho Ming Hin [...]

SFC bans Masy Lo Mee Chi for eight months

31 August 2020 The SFC has banned Ms Masy Lo Mee Chi, a former client [...]

Exchange publishes consultation conclusion on codification of general waivers and principles relating to IPOs and listed issuers and minor rule amendments

28 Aug 2020 The Stock Exchange of Hong Kong Limited today published conclusions to its [...]

SFC bans TS’O Jing for life

26 August 2020 The SFC has banned Mr TS’O Jing, a former relationship manager of [...]

Applications for new licences by insurance agents and their technical representatives, licensed insurance brokers and their technical representatives who are deemed licensees

25 August 2020 When the Insurance Authority took over the direct supervision and regulation of [...]

Hong Kong’s asset and wealth management business reports strong growth in 2019

25 August 2020 The SFC latest Asset and Wealth Management Activities Survey found that the [...]

Insurance Authority office reopens to the public from 24 August

22 August 2020 The IA today announced that its office will reopen to the public [...]

Exchange Publishes Chapter 37 Consultation Conclusion and Guidance on Disclosures in Listing Documents and Continuing obligations under Chapter 37

21 August 2020 The Exchange received 22 responses from a broad range of respondents.  The [...]