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Regulatory News


Circular to licensed corporationsDeferral of margin requirements for non-centrally cleared equity options
This circular informs licensed corporations that the Securities and Futures Commission (SFC) will defer the effective date of its margin...
Jan 22, 2024


Cross-Agency Steering Group announces key initiatives to support Hong Kong in capitalising sustainable finance opportunities
The Green and Sustainable Finance Cross-Agency Steering Group (Steering Group) met today (8 January 2024) to consider its work plan for...
Jan 15, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
The sanctions committee of the United Nations Security Council (UNSC) which administers the sanctions regime for ISIL (Da’esh) and...
Jan 15, 2024


SFC suspends Andy Wong Yeung for 10 months
The Securities and Futures Commission (SFC) has suspended Mr Andy Wong Yeung, former responsible officer (RO), manager-in-charge (MIC) of...
Jan 15, 2024


Circular to Management Companies of SFC-authorised Exchange Traded Funds (“ETFs”) – List of Potential Events Triggering Ongoing Disclosure
Under 11.1B of the Code on Unit Trusts and Mutual Funds (“UT Code”), management companies should provide holders with reasonable prior...
Jan 8, 2024


SFC suspends Hau Bing Leung for 15 months
The Securities and Futures Commission (SFC) has suspended the licence of Mr Hau Bing Leung, former account executive of Chee Tak...
Jan 1, 2024


Market Misconduct Tribunal sanctions Mayer Holdings Limited and its former senior management for late disclosure of inside information
The Market Misconduct Tribunal (MMT) has sanctioned Mayer Holdings Limited (Mayer) and nine of its former senior executives who were...
Dec 25, 2023


SFC reprimands and fines Central Wealth Securities Investment Limited $1 million for breaching Financial Resources Rules
The Securities and Futures Commission (SFC) has reprimanded and fined Central Wealth Securities Investment Limited (Central Wealth) $1...
Dec 25, 2023
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