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Regulatory updates Circulars Consultations

9 Apr 2021

Court acquits solicitor of insider dealing in shares of CASH Financial Services Group Limited

7 Apr 2021

Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares

1 Apr 2021

Arrest warrant issued for alleged social media ramp-and-dump manipulator

31 Mar 2021

SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches

Regulatory calendar

23 Mar 2021

Circular to Licensed Corporations Updated Technical Specifications for OTC Derivatives Trade Reporting

19 Mar 2021

Circular to intermediaries, responsible officers and licensed representatives Waiver of annual licensing fees

5 Mar 2021

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action (2) FATF Statement on Jurisdictions under Increased Monitoring (3) Outcomes from the FATF Plenary, 22, 24 and 25 February 2021

19 Feb 2021

Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2020

Please note that anti-money laundering and counter-financing of terrorism (AML/CFT) sanctions related circulars are only available on the complete list of AML/CFT circulars which can be found here.

8 Feb 2021

SFC consults on conduct requirements for bookbuilding and placing activities

23 Dec 2020

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

18 Dec 2020

SFC proposes amendments to the Code on Pooled Retirement Funds

11 Dec 2020

SFC proposes to upgrade the industry’s competency standards

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