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Regulatory News


Complaints Watch
The Hong Kong Monetary Authority (HKMA) published the Complaints Watch Issue No.23, which highlights the latest banking complaint trends,...
Feb 12, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of TerrorismEarly Alert on United Nations Sanctions
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Feb 12, 2024


SFC bans Lam Ching Chiu and Wong Siu Fung for five years
The Securities and Futures Commission (SFC) has banned Mr Lam Ching Chiu and Mr Wong Siu Fung, both former licensed representatives of...
Feb 12, 2024


The first ramp-and-dump case transferred to District Court
The Eastern Magistrates’ Court today granted an application by the Department of Justice to transfer a ramp-and-dump case brought by the...
Feb 12, 2024


SFC obtains court order to disqualify former chief financial officer of Fuguiniao Co., Ltd for two years
The Securities and Futures Commission (SFC) has obtained a disqualification order in the Court of First Instance against Mr Chan Wai...
Feb 12, 2024


Effective Execution of Risk-based Approach for Customer Due Diligence
Please view the full article here
Feb 12, 2024


Rules on Basel III final package and related updates
Please view the full article here
Feb 12, 2024


Expansion of Greater Bay Area Fintech Pilot Trial Facility
Please view the full article here
Feb 12, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Libya) Reg...
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Feb 12, 2024
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