The SFC considers the former relationship manager to not be fit and proper as her conduct was "plainly dishonest".
Chairman Tim Lui says the SFC is currently evaluating ESG disclosures "much more closely" and looking for more ways to reduce opportunities for greenwashing.
Account opening by attestation is expected to be piloted for the WMC's Northbound scheme, allowing Hong Kong investors to participate without having to travel.
HKEX provides key operational arrangement updates for FINI in a new information pack, including the onboarding requirements for market participants.
CPAs and audit staff are suspected of accepting bribes to compile a false accountants' report that was submitted to HKEX for a main board listing.
Restriction notices have been sent to two brokerage firms prohibiting them from dealing in assets worth HK$312mn held across 17 trading accounts.
A new paper introduces a pre-defined file format for OTCR submissions. Guidance on the new investor identification regime has also been released.
The latest regtech adoption guide highlights challenges banks face as a result of their use of legacy systems and siloed data structures.
A retired lawmaker and his son concealed an agreement with a third party who agreed to pay them about HK$210mn for control of a listed stock.
The Financial Reporting Council will increasingly disclose its investigations when cases involve high public interest.
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