Securities and Futures Commission

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    Market Infrastructure

    SFC Reminds Market of Coming Changes to Position Limit Regime

    By Mark Johnston | 20/12/2023

    The SFC has published an FAQ and updated its guidance note to help market participants understand the amendments, which come into force on Friday.

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    Enforcement

    SFC Fines Brokerage for Breaching Financial Resources Rules

    By Mark Johnston | 19/12/2023

    Central Wealth Securities Investment made various accounting and calculation errors in its financial returns and had a liquid capital deficit for eight months.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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