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Oct 28, 20242 min read
SFC suspends Singh Amit Kishan for seven months
The Securities and Futures Commission (SFC) has suspended Mr Singh Amit Kishan, a former employee of Bank Julius Baer & Co. Ltd. (Julius...
Oct 21, 20242 min read
SFC welcomes Chief Executive’s measures to boost Hong Kong capital markets
The Securities and Futures Commission (SFC) welcomes the initiatives in the Chief Executive’s Policy Address to further cement Hong...
Oct 21, 20243 min read
SFC commences MMT proceedings against Dickson Poon over alleged insider dealing and Dickson Concepts as well as its senior executives for late disclosure of inside information
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against chairman of Dickson...
Oct 21, 20242 min read
SFC reprimands and fines Zheshang International Financial Holdings Co., Limited $2.66 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Zheshang International Financial Holdings Co., Limited (Zheshang)...
Oct 21, 20241 min read
Court sets next hearing date for insider dealing case against Segantii Capital Management and its chief investment officer
The District Court today adjourned to 19 December 2024 for mention the insider dealing case against Segantii Capital Management Limited,...
Oct 14, 20243 min read
SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months
The Securities and Futures Commission (SFC) has reprimanded and fined Xinhu International Futures (Hong Kong) Co., Limited (Xinhu) $9...
Oct 14, 20242 min read
SFC flags asset manager misconduct in managing private funds and discretionary accounts
The Securities and Futures Commission (SFC) today issued a circular flagging various deficiencies and substandard conduct identified...
Oct 14, 20242 min read
SFC reprimands and fines CSC Futures (HK) Limited $4.95 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined CSC Futures (HK) Limited (CSC) $4.95 million for failures in...
Oct 14, 20241 min read
Russia to raise foreign company 'exit tax' to 35% from 15%, business daily reports
Russian authorities are set to raise the one-off contribution that foreign companies leaving the country must make to the state treasury...
Oct 14, 20243 min read
Fugitive ramp-and-dump core suspect arrested in Singapore and surrendered to Hong Kong to face securities fraud charge
The Securities and Futures Commission (SFC) is forging ahead with its enforcement actions against ramp-and-dump schemes with another...
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