Securities and Futures Commission

Enforcement

SFC Bans Ex Employee of OCBC Wing Hang Bank

By Sanday Chongo Kabange | 13/12/2023

The employee was earlier convicted for offering a colleague a bribe to refer mortgage refinancing clients to an external party.

Enforcement

HK’s Market Sounding Rules Could Impact Decision-making Dynamics

By Nithya Subramanian | 13/12/2023

Market participants have sought clarity on the definition of non-public information and jurisdiction from Hong Kong’s SFC.

ESG / Sustainability

MAS Finalises Code of Conduct for ESG Rating & Data Providers

By Ranamita Chakraborty | 07/12/2023

The regulator expects providers to regularly review their methodologies and data sources for better transparency.

Uncategorised

HK SFC Adds Two New Suspicious VATPs on Alert List

By Sanday Chongo Kabange | 07/12/2023

The SFC has warned the public to be wary of two suspicious VATPs – HongKongDAO and BitCuped – and asked the police to block them.

Enforcement

SFC Fines Ruifeng Securities for Fund Management Failures

By Sanday Chongo Kabange | 05/12/2023

The penalty was imposed for failures related to fund management activities and account opening procedures.

Crypto / Digital Assets

The Boiling Frog: Finfluencers in the Investment Management Industry

By Pankaj Sharma | 29/11/2023

Pankaj Sharma and Phoebe Chan discuss the complexities of regulating financial promotions online, finfluencers in particular, and offer recommendations.

ESG / Sustainability

HK FSTB Consults on Paperless Corporate Communications

By Sanday Chongo Kabange | 29/11/2023

Listed and non-listed companies incorporated in Hong Kong would be allowed to rely on implied consent for disseminating corporate communications by means of website.

Crypto / Digital Assets

Interactive Brokers, Victory Securities Granted HK Crypto Licences

By Editors | 27/11/2023

Interactive Brokers and Victory Securities say they have approval to offer crypto trading services to retail investors in Hong Kong.

Market Infrastructure

SFC, HKEX Formally Announce Plans to Launch China Treasury Bond Futures

By Editors | 26/11/2023

The launch of treasury bond futures in Hong Kong will further expand the toolkit for overseas investors to hedge their exposure to Mainland assets.