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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...


Oct 7, 20246 min read
Lists of virtual asset trading platforms
The SFC publishes the following lists on its website to inform the public of the regulatory status of virtual asset trading platforms...


Oct 7, 20243 min read
New public fund depositaries regime comes live on 2 October 2024
The Securities and Futures Commission (SFC) today published updated codes and guidelines for implementing the new Type 13 regulated...


Oct 7, 20243 min read
SFC welcomes voluntary code of conduct for ESG ratings and data products providers
The Securities and Futures Commission (SFC) welcomes the publication today of a voluntary code of conduct (VCoC) by an industry-led...


Oct 7, 20242 min read
SFC reprimands and fines Profitech Securities Limited $3.99 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Profitech Securities Limited (Profitech) $3.99 million for failures...


Sep 30, 20242 min read
SFC and HKMA conclude on further proposals to enhance Hong Kong’s OTC derivatives reporting regime
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) today (26 September) jointly published the...


Sep 30, 20243 min read
SFC-HKMA joint survey shows strong rebound in sales of investment products in 2023
A joint survey by the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) on the sales of...
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