SECURITIES AND FUTURES COMMISSION

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    Crypto / Digital Assets

    SFC Permits VATPs to Offer Crypto Staking Services to Clients

    By Manesh Samtani | 07/04/2025

    VATPs can provide staking as a service to clients, including retail clients. SFC-authorised virtual asset funds can also stake virtual asset holdings.

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    Securities / Derivatives

    Korean Regulators to Intensify Scrutiny of IPO Applicants

    By Nithya Subramanian | 04/04/2025

    The enhanced scrutiny is a response to cases where stock prices plummeted shortly after listing and concerns about the financial health of newly listed firms.

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    Securities / Derivatives

    SFC Adjusts Eligibility Criteria for OFC and REIT Grant Scheme

    By Sanday Chongo Kabange | 03/04/2025

    The scheme will still cover 70 percent of eligible expenses paid to Hong Kong-based service providers to set up OFCs and REITs, but the caps are lower.

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    Fintech / Regtech

    SFC Launches New AI Market Scanning Detection Model

    By Sanday Chongo Kabange | 01/04/2025

    The SFC is using AI-empowered analytics to identify red flags in listed companies early, so that issues can be addressed before they escalate.

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    AML / KYC

    HKMA Ask Banks to Heed SFC Guidance on IPO Financing

    By Sanday Chongo Kabange | 31/03/2025

    Banks are directed to comply with new SFC guidance on IPO financing, particularly the investor identification requirement under FINI.

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    Securities / Derivatives

    SFC Consults on Proposals to Streamline Regulatory Processes

    By Sanday Chongo Kabange | 31/03/2025

    For post-IPO matters, the SFC proposes a less disruptive alternative to suspension. For trading suspensions, applications for resumption will be processed more quickly

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    Crypto / Digital Assets

    SFC Approves Launch of “World’s First” Tokenised Money Market ETF

    By Manesh Samtani | 29/03/2025

    HashKey and Bosera said the new ETFs will provide investors an instrument that “balances traditional stability with the agility and flexibility of digital assets”.

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    Enforcement

    SFC Penalises Brokerage and MiC for Poor Margin Financing Controls

    By Sanday Chongo Kabange | 25/03/2025

    The SFC fined Enlighten Securities HKD 5 million and suspended its manager-in-charge for seven months.

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    Enforcement

    SFC Suspends Former Securities Broker Over ‘Finfluencer’ Activities

    By Mark Johnston | 24/03/2025

    The former Tse’s Securities representative provided investment advice through a subscription-based chat group on Telegram he hosted without a licence.

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    Market Infrastructure

    Hong Kong SFC Issues Further IPO Subscription Guidance

    By Sanday Chongo Kabange | 21/03/2025

    The SFC has directed licensed corporations to stop engaging in “imprudent and aggressive” IPO financing practices.

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