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Regulatory News


Circular on launch of e-IP application/submission system on WINGS
The Securities and Futures Commission (SFC) will launch a new online application/submission system, e-IP, on its WINGS1 portal on 29 July...
Jul 15, 2024


First District Court hearing on insider dealing case against Segantii Capital Management and its chief investment officer
The District Court today held the first hearing on the insider dealing prosecution against Segantii Capital Management Limited, its...
Jul 7, 2024


Hedge fund manager ordered to disgorge $5.6 million illicit profit from false trading and disqualified for four years
The Market Misconduct Tribunal (MMT) has ordered Mr Jonathan Dominic Iu Wai Ching, a former responsible officer of Tarascon Capital...
Jul 7, 2024


Court convicts and fines Tse Tsun Wai for unlicensed activity
The Eastern Magistrates’ Court has convicted Mr Tse Tsun Wai of holding himself out as performing a regulated function in relation to...
Jul 7, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of TerrorismUnited Nations Sanctions
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Jul 7, 2024


Circular to licensed corporations -Financial resources management and compliance with the Securities and Futures (Financial Resources) Rules
This circular elaborates on the Securities and Futures Commission’s (SFC) expectations regarding the governance and internal control...
Jul 7, 2024


Circular to issuers of SFC-authorised investment-linked assurance schemes - Streamlined approach for vetting and approving revised marketing materials
The Securities and Futures Commission (SFC) informs issuers of SFC-authorised investment-linked assurance schemes (ILAS) of enhancements...
Jul 7, 2024


SFC bans Wu Chao for three years and seven months
The Securities and Futures Commission (SFC) has prohibited Mr Wu Chao, a former responsible officer, manager-in-charge (MIC) and chief...
Jul 1, 2024
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