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Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on 27th October 2022

9th September 2022 | Hong Kong

The Hong Kong SFC (Securities & Futures Commission) has commenced criminal proceedings against 2 individuals (Tony Choi Yick Man & Ma Yau Tim) for carrying out Asset Management business in Hong Kong without a SFC license, with the 2 individuals pleading not guilty and pre-trial review set on 27th October 2022.  Hong Hong SFC: “The Eastern Magistrates’ Court today fixed the pre-trial review date for prosecutions against Mr Tony Choi Yick Man and Mr Ma Yau Tim after they pleaded not guilty to charges by the Securities and Futures Commission (SFC) for unlicensed activities.  The SFC commenced criminal proceedings on 30 June 2022 against Choi for carrying on a business in asset management without a SFC licence between 2010 and 2019 and Ma for aiding and abetting Choi’s unlicensed activity.  The pre-trial review is scheduled for 27 October 2022.”

“ Hong Kong SFC Commenced Criminal Proceedings Against 2 Individuals for Carrying Asset Management Business without License, Pleaded Not Guilty with Pre-Trial Review Set on 27th October 2022 “

 


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Hong Kong Securities & Futures Commission (SFC) License Requirement for Asset Management

Hong Kong, Asia’s leading financial centre

Asset management is a type of regulated activity under the Securities and Futures Ordinance (SFO).  Under section 114(1)(a) of the SFO, it is an offence to carry on a business in a regulated activity without a licence from the SFC.




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