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Hong Kong SFC Issues Restriction Notice to Bright Smart Securities to Freeze 1 Client Account for Suspected Insider Trading

18th August 2022 | Hong Kong

The Hong Kong Securities & Futures Commission (SFC) has issued a restriction notice to Bright Smart Securities to freeze 1 client account for suspected insider trading, prohibiting disposing or dealing with certain assets.  Hong Kong SFC: “Bright Smart has fully cooperated with the SFC and is not the subject of the SFC’s investigation into suspected insider dealing.  The restriction notice does not affect Bright Smart’s operations or its other clients.  The SFC considers that the issue of the restriction notice, which prevents dissipation of proceeds of suspected insider dealing held in the account, is desirable in the interest of the investing public or in the public interest.  The SFC’s investigation is continuing.”

“ Hong Kong SFC Starts Market Misconduct Proceeding Against Founder & CIO of Hedge Fund Tarascon Capital for False Trading with Mother on 2 HK Listed Companies to Create Active Trading Activities “

 



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HK SFC Restriction Notice to Bright Smart Securities

Hong Kong, Asia’s leading financial centre

The restriction notice prohibits Bright Smart, without the SFC’s prior written consent, from disposing of or dealing with, or assisting, counselling or procuring another person to dispose of or deal with, any assets in any way in the account up to a certain amount, including: (i) entering into transactions in respect of any securities; (ii) processing any withdrawals or transfers of securities and/or cash on the instructions of any authorized person of the account or any person acting on their behalf; (iii) disposing of or dealing with any securities and/or cash on the instructions of any authorized person of the account or any person acting on their behalf; and (iv) assisting another person to dispose of or deal with such assets in the account in a manner as specified above.  Bright Smart is also required to notify the SFC upon receipt of any instructions regarding the prohibitions specified above.




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