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Enforcement
Hong Kong Court Convicts Former Fulbright Securities AE
By Editors | 17/10/2022
The former account executive, banned for life in 2017, pleaded guilty to employing a fraudulent scheme involving securities transactions in eight stocks.
Hong Kong Launches Sustainable Finance Internship Initiative
By Editors | 13/10/2022
A centralised repository has been launched offering information about green and sustainable finance internship openings offered by FIs and other companies.
Enforcement
SFC Fines Asset Manager Over European Rule Breaches
By Editors | 12/10/2022
ARCM failed to implement adequate systems and controls to monitor its short position and ensure it was properly reported and disclosed to the public.
Enforcement
HK Court Orders Founder to Buy Shares from Wronged Investors
By Editors | 07/10/2022
The order is the first made to require a listed company executive to buy shares held by other investors “at a price to be determined by the court”.
ESG / Sustainability
ISSB Adoption in Hong Kong Will Have Global Significance: SFC
By Manesh Samtani | 06/10/2022
The SFC is working with HKEX to develop a regulatory framework for listed company climate-related disclosures “based on the ISSB standards”.
Enforcement
Hong Kong Charges 13 in Suspects Over Ramp-and-Dump Scheme
By Editors | 03/10/2022
The suspects allegedly used different social media platforms to manipulate the trading in the shares of two Hong Kong-listed companies.
Enforcement
SFC Suspends Hedge Fund Manager for Two Years
By Editors | 29/09/2022
The hedge fund manager used non-public information from a market sounding call to trade short swaps on a KRX-listed stock.
AML / KYC
SFC Shines Regulatory Spotlight on Online Platforms
By Hannah Cassidy | 28/09/2022
Hannah Cassidy and Natalie Curtis discuss key areas of concern for the SFC in relation to the online platforms operated by licensed firms.
Hong Kong Scraps Hotel Quarantine Requirement
By Editors | 26/09/2022
The relaxation comes as Singapore overtakes Hong Kong as the world’s third most favoured financial centre in the Global Financial Centres Index.
Market Infrastructure
HKMA Signals Coming Enhancements to Wealth Connect Scheme
By Editors | 22/09/2022
Enhancements could include measures to improve sales arrangements, expand the product scope, and allow more financial institutions to participate.
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