SECURITIES AND FUTURES COMMISSION

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    Securities / Derivatives

    SFC, HKEX Announce Enhanced Timeframe for New Listing Applications

    By Editors | 21/10/2024

    The enhanced timeframe for new stock listings will give companies greater certainty in the timing of their IPOs, the SFC and HKEX said.

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    Enforcement

    SFC Opens Insider Trading Case Involving 2020 PayPal Acquisition

    By Sanday Chongo Kabange | 17/10/2024

    The SFC is pursuing the chairman of a HK-listed company that held shares in PayPal’s acquisition target.

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    Market Infrastructure

    HKMA, SFC Finalise Details for New Derivatives Reporting Regime

    By Manesh Samtani | 29/09/2024

    The UTI, UPI, CDE, LEI and ISO 20022 will be required under Hong Kong’s OTC derivatives reporting regime from 29 September 2025.

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    Enforcement

    SFC Imposes Six Month Ban on Former Goldman Trader

    By Mark Johnston | 25/09/2024

    The former trader tried to dishonestly conceal a trade execution error, in breach of the Code of Conduct.

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    Enforcement

    SFC Suspends Ever-Long Securities Director for Sponsor Failures

    By Mark Johnston | 25/09/2024

    The SFC said the former RO breached the Code of Conduct and failed to exercise due skill, care, and diligence in sponsor work.

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    Enforcement

    SFC Reaches Compensation Deal for Shareholders of Delisted Firm

    By Sanday Chongo Kabange | 17/09/2024

    If approved by the court, three former directors who siphoned money from a now-delisted company will pay HK$192mn in compensation to minority shareholders.

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    Securities / Derivatives

    SFC Sets Rules for Distributing Research on Stock Connect ETFs

    By Manesh Samtani | 10/09/2024

    Hong Kong intermediaries are allowed to distribute research reports of eligible Mainland ETFs that are available in Hong Kong via Stock Connect.

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    Enforcement

    HKMA Suspends Ex-Hang Seng Bank Employee for Dishonest Conduct

    By Sanday Chongo Kabange | 09/09/2024

    The HKMA suspended a former Hang Seng Bank relevant individual for fabricating a client’s signature on a time deposit application form.

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    Securities / Derivatives

    SFC Issues Licensing Guidance for Visiting and Returning Professionals

    By Sanday Chongo Kabange | 03/09/2024

    The SFC provides guidance on licensing options for professionals visiting and returning to Hong Kong to conduct regulated activities.

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    Enforcement

    SFC Imposes Lifetime Ban on Former UBS Associate Director

    By Sanday Chongo Kabange | 03/09/2024

    The former associate director was banned for life following his conviction for laundering $1.8mn that he stole from UBS.

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