Tag: SFC
Hong Kong District Court Held 1st Hearing of 3 Large-Scale Ramp...
Hong Kong District Court Held 1st Hearing of 3 Large-Scale Ramp & Dump Cases, 18 Defendants Charged for Market Manipulation, Fraud & Money Laundering...
Hong Kong Court Transfers 3 Large-Scale Ramp & Dump Cases with...
Hong Kong Court Transfers 3 Large-Scale Ramp & Dump Cases with 18 Defendants to District Court with Higher Sentencing Authority for Trial Scheduled for...
Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets &...
Hong Kong SFC Commenced Legal Proceedings Against AMTD Global Markets & 3 Ex-Executives for Not Complying with IPO-Related Investigations of Suspected Fraud & Misleading...
Hong Kong SFC Supports Development of Voluntary Code of Conduct VCoC...
Hong Kong SFC Supports Development of Voluntary Code of Conduct VCoC by ESG Ratings & Data Providers to Mitigate Risk of Greenwashing in Investment...
Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible...
Hong Kong SFC Issues 7-Year Ban on Changjiang Corporate Finance Responsible Officer Ivan Chan for Failure as Sponsor Principal in 5 IPOs, Changjiang Corporate...
Hong Kong SFC Issues 2-Year Ban on Ex-UBS Managing Director &...
Hong Kong SFC Issues 2-Year Ban on Ex-UBS Managing Director & Chairman of AMTD Group Calvin Choi, Failure to Disclose Conflict of Interest as...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended...
Hong Kong SFC Fines Changjiang Corporate Finance $2.5 Million & Suspended Partially for 1 Year for 6 IPO Sponsor Failures Including Due Diligence, Advisory...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for...
Hong Kong SFC Fines China Industrial Securities International Brokerage $446,000 for Internal Control Failures for Suspicious Trading & Recording of Order Instructions, Only 5,000...
Hong Kong Court Fined SFC Licence Applicant $1,000 for Making False...
Hong Kong Court Fined SFC Licence Applicant $1,000 for Making False & Misleading Representations in Application Process, Failing to Disclose SFC Ban in 2016
26th...
Hong Kong & China Regulators Held 14th Annual High-Level Meeting on...
Hong Kong & China Regulators Held 14th Annual High-Level Meeting on Enforcement Cooperation Including on Coordinated Investigations, Securities Crimes & Joint Training Programs for...
