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Case consolidation for first ramp-and-dump criminal prosecution at District Court
The District Court today granted an application by the Department of Justice to consolidate an existing ramp-and-dump case involving a...
Apr 29, 20241 min read
Joint circular to intermediaries Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
During a concurrent thematic review1 of the distribution of non-exchange traded investment products by intermediaries, the Securities and...
Apr 22, 20243 min read
Risk management considerations related to the use of distributed ledger technology
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Apr 22, 20241 min read
Thematic Review of Transaction Monitoring Systems and Use of Artificial Intelligence (For AIs)
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Apr 22, 20241 min read
The Monetary Authority takes disciplinary action against Hua Nan Commercial Bank, Ltd., Hong Kong Branch for contraventions of Anti-Money Laundering and Counter-Terrorist Financing Ordinance
The Hong Kong Monetary Authority (HKMA) announced today (19 April) that it had completed an investigation and disciplinary proceedings...
Apr 22, 20242 min read
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Apr 22, 20242 min read
Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
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Apr 22, 20241 min read
SFC suspends dealings in Tianyun International Holdings Limited shares over massive missing corporate funds
The Securities and Futures Commission (SFC) has directed The Stock Exchange of Hong Kong Limited (SEHK) to suspend dealings in the shares...
Apr 16, 20244 min read
Joint Circular on Anti-Scam Consumer Protection Charter 2.0
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Apr 15, 20241 min read
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