Useful Information | Compliance Consulting Limited

please click here if you would like to check old regulatory news

February 28, 2023

Circular to Licensed Corporations in relation to list of prescribed persons who have reached the clearing threshold under the clearing and record keeping rules for the OTC derivatives regime

February 28, 2023

致持牌法团的通函关于已达到为场外衍生工具制度而设的结算及备存纪录规则下的结算门槛的订明人士名单

February 27, 2023

SFC bans Chan Wai Chun for life

February 27, 2023

证监会终身禁止陈炜俊重投业界

February 24, 2023

Effective date for changes to Stock Connect trading calendar

February 24, 2023

沪深港通交易日历的优化安排的生效日期

February 22, 2023

SFC welcomes government budget measures

February 22, 2023

证监会欢迎政府财政预算案提出的措施

February 20, 2023

SFC consults on proposals to regulate virtual asset trading platforms

February 20, 2023

证监会就有关监管虚拟资产交易平台的建议展开谘询

February 17, 2023

SFC and CSRC enter into an MoU on regulatory cooperation

February 17, 2023

证监会与中国证监会签订监管合作备忘录

February 17, 2023

Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2022

February 17, 2023

致从事资产及财富管理活动的持牌法团的通函 - 2022年资产及财富管理活动调查 (只备有英文版)

February 7, 2023

SFC reprimands and fines Jinrui Futures (Hong Kong) Limited $4.8 million and sanctions its responsible officers for regulatory breaches

February 7, 2023

证监会谴责金瑞期货（香港）有限公司违反监管规定并处以罚款480万元和制裁其负责人员

February 3, 2023

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Early Alert on United Nations Sanctions

February 3, 2023

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 就联合国制裁提早发出通知

January 31, 2023

Circular to Intermediaries - Submission of BCAN-CID Mapping File for the Hong Kong Investor Identification Regime

January 31, 2023

致中介人的通函 - 香港投资者识别码制度下提交配对档案

January 30, 2023

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Early Alert on United Nations Sanctions

January 30, 2023

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 就联合国制裁提早发出通知

January 30, 2023

SFAT affirms SFC decision to fine Cardinalasia Consulting Limited $1.5 million and imposes a heavier suspension on its responsible officer for failures in managing private funds

January 30, 2023

上诉审裁处确认证监会因珈迪璐亚洲有限公司管理私人基金犯有缺失而对其罚款150万元的决定并对其负责人员施加更重的暂时吊销牌照罚则

January 20, 2023

SFC warns the public against a suspicious website

January 20, 2023

证监会呼吁公众人士提防可疑网站

January 17, 2023

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Early Alert on United Nations Sanctions

January 17, 2023

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 就联合国制裁提早发出通知

December 30, 2022

SFC appoints Interim Head of Intermediaries

December 30, 2022

证监会委任中介机构部临时主管

December 29, 2022

Process Review Panel Report 2021-22

December 29, 2022

程序覆检委员会2021至22年度报告

December 23, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - (1) United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2022 & (2) United Nations Sanctions (Mali) Regulation 2019 (Amendment) Regulation 2022

December 23, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - (1) 《2022年〈2020年聯合国制裁（中非共和国）规例〉（修订）规例》& (2) 《2022年〈2019年聯合国制裁（马里）规例〉（修订）规例》

December 23, 2022

Circular to Licensed Corporations and Associated Entities - Revised Business and Risk Management Questionnaire

December 23, 2022

致持牌法团及有联系实体的通函 - 经修订的《业务及风险管理问卷》

December 22, 2022

Circular to licensed corporations - Thematic review of Data Standards for Order Life Cycles

December 22, 2022

致持牌法团的通函 - 有关《适用于买卖盘生命周期的数据标准》的主题检视

December 21, 2022

SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $2.8 million over regulatory breaches

December 21, 2022

证监会谴责国信证券（香港）经纪有限公司违反监管规定并处以罚款280万元

December 20, 2022

Cross-Agency Steering Group announces collaboration with CDP to enhance data availability and sustainability reporting in Hong Kong

December 20, 2022

跨机构督导小组公布与CDP在数据和可持续发展报告等领域的合作

December 19, 2022

Regulators announce expansion of eligible stocks under Stock Connect

December 19, 2022

监管机构公布扩大沪深港通的合资格股票范围

December 19, 2022

SFC bans Sun Yiding for eight months

December 19, 2022

证监会禁止孙一丁重投业界八个月

December 16, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022

December 16, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 《2022年打击洗钱及恐怖分子资金筹集（修订）条例》

December 15, 2022

SFC fines and suspends Chung Tung Sau for seven months

December 15, 2022

证监会对钟桐琇处以罚款并暂时吊销其牌照七个月

December 15, 2022

SFC suspends Wang Pei Yi for 10 months

December 15, 2022

证监会暂时吊销王蓓仪的牌照十个月

December 15, 2022

SFC welcomes new Chief Executive Officer

December 15, 2022

证监会欢迎新任行政总裁

December 15, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Webinar Materials

December 15, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 网络研讨会资料

December 13, 2022

Statement on virtual asset arrangements claiming to offer returns to investors

December 13, 2022

有关声称向投资者提供回报的虚拟资产安排的声明

December 12, 2022

Circular to Intermediaries - Launch of the Hong Kong Investor Identification Regime

December 12, 2022

致中介人的通函 - 推出香港投资者识别码制度

December 9, 2022

Circular to intermediaries - SFC and HKMA joint product survey 2022

December 9, 2022

致中介机构的通函 - 2022证监会与金管局关于产品销售的联合调查

December 6, 2022

SFC issues quarterly report

December 6, 2022

证监会发表季度报告

December 2, 2022

Circular in relation to the clearing and record keeping rules for the OTC derivatives regime – changes to the list of persons designated as financial services providers

December 2, 2022

关于为场外衍生工具制度而设的结算及备存纪录规则的通函—对被指定为金融服务提供者的人士的名单的修改

December 1, 2022

Circular to Licensed Corporations - OTC Derivatives Trade Reporting – Accommodative Arrangement for Reporting the Unique Transaction Identifier (UTI)

December 1, 2022

致持牌法团的通函 - 关于场外衍生工具交易汇报 – 汇报交易识别编码的便利安排

November 25, 2022

SFC and CSRC hold high-level enforcement cooperation meeting

November 25, 2022

证监会与中国证监会举行高层执法合作会议

November 25, 2022

SFC consults on risk management guidelines for futures dealing activities

November 25, 2022

证监会就期货交易活动的风险管理指引展开谘询

November 24, 2022

Suspected syndicate leader charged in connection with ramp-and dump schemes

November 24, 2022

唱高散货”集团怀疑主脑被检控

November 23, 2022

Court orders Hong Kong Wan Kiu Investment Company Limited and its connected entities to compensate clients

November 23, 2022

法庭命令香港宏侨投资有限公司及其有关连实体向客户作出赔偿

November 22, 2022

SFC concludes consultation on the position limit regime and proposes further changes

November 22, 2022

证监会发表有关持仓限额制度的谘询总结并建议作出进一步修订

November 15, 2022

Mutual Recognition of Funds (MRF) between Thailand and Hong Kong

November 15, 2022

有关泰国与香港基金互认的通函 (只备有英文版)

November 10, 2022

SFC and ICAC joint operation against sophisticated ramp-and-dump syndicate

November 10, 2022

证监会与廉署采取联合行动打击 “唱高散货”集团

November 10, 2022

Wong King Hoi jailed for obstruction of SFC’s search operation

November 10, 2022

黄敬凯因妨碍证监会搜查行动被判入狱

November 8, 2022

SFC reprimands and fines Swiss-Asia Asset Management (HK) Limited $3 million for regulatory breaches

November 8, 2022

证监会谴责Swiss-Asia Asset Management (HK) Limited违反监管规定并处以罚款300万元

November 4, 2022

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

November 4, 2022

致持牌法团的通函 - 关于场外衍生工具交易汇报的技术规格的更新

November 2, 2022

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, 20-21 October 2022

November 2, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - (1) 财务行动特别组织有关要求各方对高风险司法管辖区采取行动的声明, (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 & (3) 财务行动特别组织2022年10月20至21日全体会议所取得的成果

November 1, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Anti-Money Laundering and Counter-Financing of Terrorism Webinar

November 1, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 打击洗钱及恐怖分子资金筹集网络研讨会

October 31, 2022

Pilot Green and Sustainable Finance Capacity Building Support Scheme begins accepting eligible programme applications

October 31, 2022

「绿色和可持续金融培训先导计划」现正接受合资格培训及资历申请

October 31, 2022

SFC bans Tang Shiyi for 10 months

October 31, 2022

证监会禁止唐诗怡重投业界十个月

October 31, 2022

Circular on Virtual Asset Futures Exchange Traded Funds

October 31, 2022

有关虚拟资产期货交易所买卖基金的通函 (只备有英文版)

October 31, 2022

New speech by Julia Leung: Keynote speech at Hong Kong FinTech Week 2022

October 31, 2022

梁凤仪的新演说：在香港金融科技周2022的主题演说

October 28, 2022

Cross-Agency Steering Group welcomes launch of HKEX’s Core Climate to mobilise finance for the transition to a low carbon economy

October 28, 2022

跨机构督导小组欢迎香港交易所推出Core Climate推动资金流向低碳经济转型

October 28, 2022

SFC publicly criticises Gold Dragon Worldwide Asset Management Limited for breaches of Takeovers Code

October 28, 2022

证监会公开批评金龙世兴资产管理有限公司违反《收购守则》

October 27, 2022

Former account executive of Fulbright Securities Limited jailed for securities fraud

October 27, 2022

富昌证券有限公司前客户主任因证券欺诈被判入狱

October 27, 2022

Retail investor convicted and fined for illegal short selling

October 27, 2022

散户投资者被裁定非法卖空罪成及判处罚款

October 27, 2022

Court convicted Wong King Hoi for obstruction of SFC’s search operation

October 27, 2022

法院裁定黄敬凯妨碍证监会搜查行动罪成

October 19, 2022

SFC welcomes Chief Executive’s initiatives to enhance Hong Kong’s competitiveness

October 19, 2022

证监会欢迎行政长官为加强香港竞争力提出的施政措施

October 17, 2022

SFC welcomes appointment and re-appointment of Non-Executive Directors

October 17, 2022

证监会欢迎非执行董事的任命及续任

October 14, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Libya) Regulation 2019 (Amendment) Regulation 2022

October 14, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 《2022年〈2019年聯合国制裁（利比亚）规例〉（修订）规例》

October 14, 2022

Former account executive of Fulbright Securities Limited convicted of securities fraud

October 14, 2022

富昌证券有限公司前客户主任被裁定证券欺诈罪成

October 12, 2022

Cross-Agency Steering Group launches Sustainable Finance Internship Initiative to support capacity building

October 12, 2022

跨机构督导小组推出“可持续金融实习计划”以支持能力建设

October 12, 2022

SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former senior executive Billy Wong Yim Chi for two months

October 12, 2022

Asia Research & Capital Management Limited遭证监会谴责和罚款175万元并禁止其前高层人员黄严赐重投业界两个月

October 6, 2022

Court orders Sound Global to purchase shares from investors

October 6, 2022

法庭命令桑德国际向投资者购入股份

October 6, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - (1) United Nations Sanctions (Yemen) Regulation 2019 & (2) United Nations Sanctions (Mali) Regulation 2019

October 6, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - (1) 《2019年聯合国制裁（也门）规例》 & (2) 《2019年聯合国制裁（马里）规例》

October 6, 2022

New speech by Julia Leung: Keynote speech at ASIFMA Tech and Ops Conference 2022

October 6, 2022

梁凤仪的新演说：在亚洲证券业与金融市场协会2022年科技与营运会议上的主题演说

September 30, 2022

Thirteen people charged following SFC and Police joint operation against ramp-and-dump syndicate

September 30, 2022

证监会与警方对“唱高散货”集团采取联合行动后检控13人

September 29, 2022

SFC welcomes appointment of Executive Directors

September 29, 2022

证监会欢迎执行董事的委任

September 29, 2022

SFAT affirms SFC decision to suspend hedge fund manager Christopher James Aarons

September 29, 2022

上诉审裁处确认证监会暂时吊销对冲基金经理Christopher James Aarons的牌照的决定

September 28, 2022

Court dismisses challenge to SFC’s power of issuing restriction notices

September 28, 2022

法庭驳回就证监会发出限制通知书的权力所提出的反对

September 28, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Yemen) Regulation 2019

September 28, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 -《2019年聯合国制裁（也门）规例》

September 27, 2022

SFC-HKMA’s joint product survey shows increasing participation of intermediaries and investors

September 27, 2022

证监会与金管局的联合产品调查显示中介机构和投资者的参与度日增

September 23, 2022

Circular to Intermediaries - Market Rehearsals (MRs) for the Hong Kong Investor Identification Regime (HKIDR)

September 23, 2022

致中介人的通函 - 香港投资者识别码制度市场演习

September 23, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019 (Amendment) Regulation 2022 & (2) United Nations Sanctions (South Sudan) Regulation 2019 (Amendment) Regulation 2022

September 23, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - (1) 《2022年〈2019年聯合国制裁（刚果民主共和国）规例〉（修订）规例》& (2) 《2022年〈2019年聯合国制裁（南苏丹）规例〉（修订）规例》

September 16, 2022

Circular to Intermediaries - Investor Education on the Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR)

September 16, 2022

致中介人的通函 - 有关香港投资者识别码制度及场外证券交易汇报制度的投资者教育

September 15, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Democratic People’s Republic of Korea) Regulation

September 15, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 -《聯合国制裁（朝鲜民主主义人民共和国）规例》

September 8, 2022

Court sets pre-trial review date for unlicensed activities prosecution

September 8, 2022

法院就无牌活动的检控订定审讯前的覆核日期

September 7, 2022

Takeovers Panel rules on the price for the mandatory general offer for Suncity Group Holdings Limited

September 7, 2022

收购委员会就太阳城集团控股有限公司的强制全面要约的价格作出裁定

September 6, 2022

New speech by Julia Leung: Keynote speech at AIMA APAC Annual Forum 2022

September 6, 2022

梁凤仪的新演说：在另类投资管理协会2022年亚太区年度论坛上的主题演说

September 5, 2022

SFC suspends Tang Kai Shing for eight months

September 5, 2022

证监会暂时吊销邓启成的牌照八个月

September 2, 2022

SFC welcomes Central Government’s support to enhance Hong Kong's IFC status

September 2, 2022

证监会欢迎中央政府支持香港巩固国际金融中心的地位

August 31, 2022

SFC’s review shows increasing popularity of online investment services

August 31, 2022

证监会的检视反映网上投资服务愈见普及

August 31, 2022

Circular to licensed corporations - Review of online brokerage, distribution and advisory services

August 31, 2022

致持牌法团的通函 - 有关网上经纪、分销及投资谘询服务的检视

August 30, 2022

Takeovers Panel rules a special waiver from the general offer obligation may be granted to Broad Gongga for an involuntary disposal that leads to a change in concert group leader

August 30, 2022

收购委员会裁定可就因强制售股交易引致一致行动集团领导人改变而产生的全面要约责任向Broad Gongga授予特别宽免

August 18, 2022

Retail investors convicted and fined for illegal short selling

August 18, 2022

散户投资者被裁定非法卖空罪成及判处罚款

August 17, 2022

SFC issues restriction notice to a broker to freeze client account linked to suspected insider dealing

August 17, 2022

证监会向经纪行发出限制通知书以冻结与涉嫌内幕交易有关的客户帐户

August 16, 2022

SFC commences MMT proceedings against hedge fund manager over alleged false trading

August 16, 2022

证监会就对冲基金经理涉嫌虚假交易在审裁处展开研讯程序

August 16, 2022

SFC issues quarterly report

August 16, 2022

证监会发表季度报告

August 12, 2022

Regulators to enhance Stock Connect trading calendar

August 12, 2022

监管机构拟优化沪深港通交易日历

August 2, 2022

Circular to Intermediaries - Reminder on End-To-End (E2E) Test for the Hong Kong Investor Identification Regime (HKIDR)

August 2, 2022

致中介人的通函 - 香港投资者识别码制度端对端测试的提示

August 2, 2022

SFC sets out the way forward for green and sustainable finance

August 2, 2022

证监会发表有关绿色和可持续金融的未来路向

August 1, 2022

SFC reprimands and fines TC Capital International Limited $3 million and suspends its responsible officer for sponsor failures

August 1, 2022

天财资本国际有限公司因干犯保荐人缺失遭证监会谴责和罚款300万元并暂时吊销其负责人员的牌照

July 28, 2022

SFC bans Chan Ka Hey for 6 months

July 28, 2022

证监会禁止陈嘉熹重投业界六个月

July 28, 2022

SFC reprimands and fines KTF Capital Management Limited $400,000 for breaching Financial Resources Rules

July 28, 2022

金石同方资本管理有限公司因违反《财政资源规则》而遭证监会谴责及罚款400,000元

July 27, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Democratic People’s Republic of Korea) Regulation

July 27, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 《聯合国制裁（朝鲜民主主义人民共和国）规例》

July 25, 2022

SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches

July 25, 2022

日发期货有限公司因违反监管规定遭证监会谴责和罚款900万元

July 22, 2022

Circular to Intermediaries - 1) Update of Technical Information Paper for the Over-the-counter Securities Transactions Reporting Regime (OTCR); and 2) OTCR Reporting File Template and Submission Process Flow

July 22, 2022

致中介人的通函 - 1)《场外证券交易汇报制度的技术资料文件》的更新；及 2)《场外证券交易汇报制度的汇报档案范本及呈交流程》

July 22, 2022

Appointments to Disciplinary Chair Committee

July 22, 2022

证监会委任纪律研讯主席委员会委员

July 20, 2022

Hong Kong’s asset and wealth management business remained resilient in 2021

July 20, 2022

2021年香港资产及财富管理业务保持稳健

July 20, 2022

SFC reprimands and fines RBC Investment Services (Asia) Limited $7.7 million for mishandling client assets

July 20, 2022

加皇投资理财有限公司因不当处理客户资产遭证监会谴责及罚款770万元

July 19, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Libya) Regulation 2019

July 19, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 -《2019年聯合国制裁（利比亚）规例》

July 18, 2022

SFC bans Lam Ki Fung for three years

July 18, 2022

证监会禁止林其锋重投业界三年

July 15, 2022

SFC welcomes re-appointment of Non-Executive Directors

July 15, 2022

证监会欢迎非执行董事获再度委任

July 14, 2022

SFC welcomes re-appointment of Executive Directors

July 14, 2022

证监会欢迎执行董事获再度委任

July 13, 2022

Circular to Intermediaries - Extension of End-To-End (E2E) Test for the Hong Kong Investor Identification Regime (HKIDR)

July 13, 2022

致中介人的通函 - 延长香港投资者识别码制度端对端测试

July 8, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - Publication of the Latest Hong Kong’s Money Laundering and Terrorist Financing Risk Assessment Report

July 8, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 公布最新的《香港洗钱及恐怖分子资金筹集风险评估报告》

July 8, 2022

Chief Executive Officer to leave SFC

July 8, 2022

证监会行政总裁将会离任

July 5, 2022

SFC and Police joint operation on suspected corporate fraud

July 5, 2022

证监会与警方就怀疑企业欺诈案采取联合行动

July 5, 2022

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, 14-17 June 2022

July 5, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明, (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 & (3) 财务行动特别组织2022年6月14至17日全体会议所取得的成果

July 4, 2022

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Democratic People’s Republic of Korea) Regulation

July 4, 2022

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 - 《聯合国制裁（朝鲜民主主义人民共和国）规例》

July 4, 2022

Regulators announce development of Swap Connect

July 4, 2022

监管机构宣布开展互换通

June 30, 2022

Circular on Clearing Amendment Rules – Addition of Eight New Calculation Periods

June 30, 2022

关于《结算修订规则》的通函－增设八个新的计算期间

June 30, 2022

Circular to Licensed Corporations - OTC Derivatives Trade Reporting / Publication of the Updated Supplementary Reporting Instructions and the Gazette Notice

June 30, 2022

致持牌法团的通函 - 关于场外衍生工具交易汇报 / 公布已更新的辅助汇报指引及宪报

June 28, 2022

Launch of ETF Connect

June 28, 2022

ETF通正式启动

June 28, 2022

New synopsis: Keynote by Ashley Alder at IFRS Foundation Conference 2022

June 28, 2022

新发言摘要：欧达礼在2022国际财务报告准则基金会会议上的演说

June 28, 2022

New speech by Julia Leung: Keynote speech at ASIFMA Compliance Asia Conference 2022

June 28, 2022

梁凤仪的新演说：在2022年亚洲证券业与金融市场协会合规亚洲会议上的主题演说

June 27, 2022

SFC reprimands and fines CES Capital International (Hong Kong) Co., Limited $3.2 million for failures in managing private funds

June 27, 2022

东航国际金融(香港)有限公司因管理私募基金有缺失遭证监会谴责及罚款320万元

June 23, 2022

Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime

June 23, 2022

对场外衍生工具监管制度下的金融服务提供者的名单进行年度更新

June 22, 2022

SFC publishes Annual Report 2021-22

June 22, 2022

证监会发表《2021-22年报》

June 21, 2022

Cross-Agency Steering Group announces launch of information and data repositories and other progress in advancing Hong Kong’s green and sustainable finance development

June 21, 2022

跨机构督导小组公布推出信息和数据库以及其他推动香港绿色和可持续金融发展的工作进展

June 17, 2022

Circular to Intermediaries - Reminder on End-To-End (E2E) Test for the Hong Kong Investor Identification Regime (HKIDR)

June 17, 2022

致中介人的通函 - 香港投资者识别码制度端对端测试的提示

COMPLIANCE CONSULTING LIMITED

The First Compliance Consultancy in HK since 2003