• SFC reprimands and fines Yardley Securities Limited $5 million for breaches of anti-money laundering regulatory requirements

  • SFC reprimands and fines Sino-Rich Securities & Futures Limited $7.2 million for breaches of anti-money laundering regulatory requirements

  • Market Misconduct Tribunal sanctions Magic Holdings International Limited and its directors for late disclosure of inside information

  • Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Sudan) Regulation 2013

  • 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

  • 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2021年2月22、24及25日全体会议所取得的成果

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

  • Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Central African Republic) Regulation 2020

  • Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Somalia) Regulation 2019 (Amendment) Regulation 2021

  • SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam

  • 证监会向两家经纪行发出限制通知书以冻结与怀疑社交媒体“唱高散货”骗局有关的客户帐户

December 23, 2020

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

  • Cross-agency steering group launches its Strategic Plan to Strengthen Hong Kong’s Financial Ecosystem to Support a Greener and More Sustainable Future

 

Useful Links

 

Securities and Futures Commission

 

http://www.sfc.hk

 

Financial Services and the Treasury Bureau

 

http://www.fstb.gov.hk

 

 

Bilingual Laws Information System

 

http://www.legislation.gov.hk

 

 

Hong Kong Exchanges and Clearing Limited


http://www.hkex.com.hk

 

 

Hong Kong Monetary Authority 

 

http://www.hkma.gov.hk

 

Hong Kong Securities and Investment Institute

 

http://www.hksi.org

 

 

Mandatory Provident Fund Schemes Authority

 

http://www.mpfa.org.hk

 

 

Hang Seng Indexes Company Limited


http://www.hsi.com.hk

Investor Education Centre

http://www.hkiec.org.hk

 

Email: info@hkcompliance.com | Tel: 2121-8968 | Address: Unit 703, 7/F, Universal Trade Centre, 3-5A Arbuthnot Road, Central, Hong Kong 

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