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Regulatory News


SFC sets clear timeline for implementing an uncertificated securities market in Hong Kong
The Securities and Futures Commission (SFC) today released consultation conclusions on its proposed subsidiary legislation, code and...
Jul 22, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism(1) FATF Statement on High-Risk Jurisdi
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Jul 15, 2024


First District Court hearings for 18 defendants in three social media ramp-and-dump cases
The District Court today held the first hearings of three large-scale and highly sophisticated social media ramp-and-dump cases against...
Jul 15, 2024


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
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