SECURITIES AND FUTURES COMMISSION

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    Enforcement

    SFC Suspends Former RO for 4 Years Over 2019 Share Placement

    By Sanday Chongo Kabange | 29/05/2024

    The share placement failures were attributable to the former RO’s neglect, gross negligence or recklessness, the SFC said.

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    Crypto / Digital Assets

    SFC Warns of Impending Deadline Under VATP Regime

    By Editors | 29/05/2024

    The SFC will conduct on-site inspections in the coming months to ascertain compliance by the ‘deemed-to-be-licensed’ VATP applicants.

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    Market Infrastructure

    SFC Issues New Guidance on Offering HK Funds in ADGM

    By Sanday Chongo Kabange | 28/05/2024

    The guide explains how Hong Kong funds can be offered in the Abu Dhabi Global Market via the UAE fund passporting regime.

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    Enforcement

    SFC Bars Ex-Licensee Over Unlicensed Activity

    By Sanday Chongo Kabange | 28/05/2024

    The SFC has barred Cheung Wing Hung for 18 months due to a criminal conviction for carrying out unlicensed activities.

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    Crypto / Digital Assets

    Hong Kong Considers Allowing Staking for Ether ETFs

    By Mark Johnston | 27/05/2024

    If staking is allowed, ETF investors could earn passive income by locking tokens on the Ethereum network to help validate transactions.

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    Securities / Derivatives

    Hong Kong REITs Allowed to Repurchase Treasury Units

    By Editors | 27/05/2024

    The requirements for SFC-authorised REITs are similar to those applicable to other listed entities, following rule amendments made last month.

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    Enforcement

    HK: Insider Trading Prosecution May Prompt Hedge Fund Closure

    By Editors | 24/05/2024

    “It is in the best interests of our investors to return their capital in an orderly manner,” a Segantii spokesperson said.

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    Securities / Derivatives

    Korea: FSS Head Considers Partial Lifting of Short Selling Ban

    By Editors | 22/05/2024

    FSS Governor Lee Bok-hyun said he personally wishes to allow short selling practices in June, at least partially.

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    Enforcement

    Hong Kong Court Jails Two Former Brokers for False Trading

    By Editors | 20/05/2024

    The two men, formerly licensed representatives of KGI Asia Limited and South China Securities Limited, were each jailed for three months.

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    ESG / Sustainability

    ICMA Proposes Draft Code for ESG Data Providers

    By Manesh Samtani | 17/05/2024

    The draft Code of Conduct was prepared by an ICMA-led industry working group that was sponsored by Hong Kong’s SFC.

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