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SFAT affirms SFC decision to ban Calvin Choi Chi Kin for two years

上诉审裁处确认证监会禁止蔡志坚重投业界两年的决定

SFC publishes lists of virtual asset trading platforms

证监会发布多份虚拟资产交易平台名单

New speech by Christopher Wilson: Speech at Directors’ Symposium of the Hong Kong Institute of Directors

魏弘福的新演说：在香港董事学会的董事研讨会2023上的演说

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (South Sudan) Regulation 2019 (Amendment) Regulation 2023

致持牌法团、获证监会发牌的虚拟资产服务提供者及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集
《2023年〈2019年聯合国制裁（南苏丹）规例〉（修订）规例》

Enhancements to the Cross-boundary Wealth Management Connect Pilot Scheme - Strengthening Financial Market Connectivity in the GBA

优化粤港澳大湾区「跨境理财通」业务试点　进一步推进大湾区金融市场互联互通

SFC-HKMA joint product survey in 2022 shows shifts to investments in money market funds

证监会与金管局的2022年联合产品调查显示投资者转向投资货币市场基金

New speech by Rico Leung: Keynote speech at ISDA Derivatives Trading Forum

梁仲贤的新演说：在国际掉期及衍生工具协会衍生工具交易论坛上的主题演说

New speech by Christina Choi: Keynote speech at Bloomberg Buy-Side Forum 2023

蔡凤仪的新演说：在2023彭博买方论坛上的主题演说

SFC obtains interim injunction against former director of SMI Culture & Travel Group Holdings Limited

证监会取得针对星美文化旅游集团控股有限公司前董事的临时强制令

SFC steps up information dissemination and investor education on VATPs

证监会将加强虚拟资产交易平台相关的信息发布及投资者教育

SFC amends takeovers and share buy-backs codes

证监会修订有关公司收购及股份回购的守则

Statement on JPEX

有关JPEX的声明

SFC bans Lo Wai Ming for seven months

证监会禁止卢伟明重投业界七个月

SFC reprimands and fines Chee Tak Securities Limited $2 million and sanctions its responsible officer for regulatory breaches

证监会谴责致德证券有限公司违反监管规定并处以罚款200万元和制裁其负责人员

Circular to intermediaries - Cybersecurity review of selected licensed corporations

致中介人的通函 - 对选定持牌法团进行的网络保安检视

Warning statement on unregulated virtual asset trading platform

有关不受规管的虚拟资产交易平台的警告声明

SFC revokes Axial Capital Management Limited’s licence and suspends its responsible officer for five years

证监会撤销Axial Capital Management Limited的牌照并暂时吊销其负责人员的牌照五年

Court appoints administrators for Vantage New Generation Securities Limited

法庭就新世代证券有限公司委任管理人

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

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

SFC and ICAC conduct joint operation against suspected market manipulation syndicate and Restriction Notices issued by the SFC to six brokers to freeze client accounts

证监会联同廉署采取行动打击怀疑市场操纵集团并发出限制通知书冻结六家证券行客户帐户

Regulators conclude consultation on revising OTC derivative Clearing Rules

监管机构就场外衍生工具《结算规则》的修订发表谘询总结

New Roadmap to Promote Fintech Adoption in Financial Services Sector

推动金融服务业应用金融科技的新推广计划

Circular to Intermediaries - Reminder on the Over-the-counter Securities Transactions Reporting Regime (OTCR)

致中介人的通函 - 场外证券交易汇报制度的提示

SFC concludes consultation on risk management guidelines for futures dealing activities

证监会就期货交易活动的风险管理指引发表谘询总结

SFC issues quarterly report

证监会发表季度报告

SFC reprimands and fines China Industrial Securities International Brokerage Limited $3.5 million for internal control failures

兴证国际证券有限公司因内部监控缺失遭证监会谴责及罚款350万元

SFC fines Changjiang Corporate Finance (HK) Limited $20 million and suspends its licence for serious and extensive sponsor failures

长江证券融资（香港）有限公司干犯严重且广泛的保荐人缺失被证监会罚款2,000万元及暂时吊销牌照

Securities fraud and illegal short selling case transferred to District Court

证券欺诈及非法卖空案件获移交区域法院审理

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Democratic People’s Republic of Korea) Regulation

Aug 17, 2023

致持牌法团、获证监会发牌的虚拟资产服务提供者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》

Regulators reach consensus on introducing block trading under Stock Connect

监管机构就推动大宗交易纳入互联互通机制达成共识

Market Misconduct Tribunal finds Mayer Holdings Limited and its former senior management for late disclosure of inside information

市场失当行为审裁处裁定美亚控股有限公司及前高层未有及时披露内幕消息

SFC concludes consultation on amendments to enforcement-related provisions of the Securities and Futures Ordinance

Aug 8, 2023

证监会就修订《证券及期货条例》内与执法相关的条文发表谘询总结

Aug 7, 2023

Warning: Virtual asset trading platforms engaging in improper practices

警告：经营手法不当的虚拟资产交易平台

Aug 7, 2023

Cross-Agency Steering Group announces priorities to further strengthen Hong Kong’s sustainable finance ecosystem

Aug 7, 2023

跨机构督导小组就进一步巩固香港可持续金融生态系统公布重点工作

Hong Kong’s asset and wealth management business fared on par with global markets in 2022

2022年香港资产及财富管理业务表现与全球市场同步

Suspected core members of sophisticated syndicate charged in ramp-and-dump case

组织严密的“唱高散货”集团怀疑骨干成员被检控

Circular to intermediaries - HKEX’s annual rehearsal for trading system recovery

致中介人的通函 - 香港交易所交易系统復原的年度演习

Joint circular to intermediaries - Streamlined approach for compliance with suitability obligations when dealing with sophisticated professional investors

致中介人的联合通函 - 有关中介人为遵守向高端专业投资者提供合理适当建议的责任的精简程序

SFC welcomes licence and registration applications from depositaries of public funds

证监会欢迎公众基金存管人提交牌照和注册申请

Court convicted and fined Cheung Wing Hung for unlicensed activity

法院裁定张永鸿进行无牌活动罪成并判处罚款

SFC welcomes IOSCO endorsement of new sustainability disclosure standards

证监会欢迎国际证监会组织认可新的可持续披露准则

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团、获证监会发牌的虚拟资产服务提供者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

SFC publishes review of SEHK’s performance in regulating listing matters

证监会发表有关联交所规管上市事宜表现的检讨报告

New synopsis: Julia Leung’s keynote discussion at HKICPA’s CPA Congress

新发言摘要：梁凤仪于香港会计师公会的CPA论坛上的主题讨论

SFC and AFRC join forces to combat misconduct by listed issuers

证监会与会财局合力打击上市发行人的失当行为

SFC reprimands and fines Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures

证监会谴责长江证券资产管理（香港）有限公司违反监管规定及犯有内部监控缺失并处以罚款340万元

New speech by Tim Lui: Speech at Law Society of Hong Kong’s Forum

雷添良的新演说：在香港律师会论坛上的演说

SFC bans RaffAello Capital Limited’s former responsible officer for two years over IPO sponsor failures

RaffAello Capital Limited前负责人员因首次公开招股保荐人缺失遭证监会禁止重投业界两年

New speech by Julia Leung: Speech at HKSI Institute Regulatory Luncheon

梁凤仪的新演说：在香港证券及投资学会监管事务午宴上的演说

Court convicted and fined Ben Ngai Ping Kuen for unlicensed activity

法院裁定魏秉权进行无牌活动罪成并判处罚款

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团、获证监会发牌的虚拟资产服务提供者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

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers 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, 21-23 June 2023

致持牌法团、获证监会发牌的虚拟资产服务提供者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) 特别组织有关被加强监察的司法管辖区的声明 & (3) 特别组织2023年6月21至23日全体会议所取得的成果

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

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

SFC and Exchange sign second addendum to MoU governing listing matters

证监会与联交所签订《规管上市事宜的谅解备忘录》第二份补充文件

Cross-Agency Steering Group welcomes publication of IFRS Sustainability Disclosure Standards

跨机构督导小组欢迎国际财务报告可持续披露准则的发布

New speech by Julia Leung: Keynote speech at ASIFMA China Capital Markets Conference

梁凤仪的新演说：在亚洲证券业与金融市场协会的中国资本市场会议上的主题演说

June 23, 2023

SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited

证监会取得针对国农控股有限公司前任董事的取消资格令

Four people charged following SFC and Police joint operation against securities fraud and illegal short selling

证监会与警方对证券欺诈及非法卖空活动采取联合行动后检控四人

New speech by Julia Leung: Keynote Speech at Executive Dinner organised by the Hong Kong Economic and Trade Office in Bangkok, Office for Attracting Strategic Enterprises and InvestHK

梁凤仪的新演说：在由香港驻曼谷经济贸易办事处、引进重点企业办公室及投资推广署合办的行政晚宴上的主题演说

SFC publishes Annual Report 2022-23

证监会发表《2022-23年报》

June 19, 2023

SFC reprimands and fines Taiping Securities (HK) Co Limited $1.3 million for internal control failures over employee dealings

June 19, 2023

太平证券（香港）有限公司因雇员交易内部监控缺失遭证监会谴责和罚款130万元

Appointments and re-appointments to SFC Advisory Committee

证监会谘询委员会成员的委任及续任

June 12, 2023

CSRC and SFC hold high-level meeting in Hong Kong

中国证监会与香港证监会在香港举行高层会议

SFC issues restriction notice to Global Group Securities Limited

证监会向高宝集团证券有限公司发出限制通知书

SFC bans Xie Yangxiong for life

证监会终身禁止谢仰雄重投业界

SFC updates guidance to prepare for HKD-RMB Dual Counter Model

证监会更新指引为港币－人民币双柜台模式作准备

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团、获证监会发牌的虚拟资产服务提供者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

SFC concludes consultation on the position limit regime

证监会发表有关持仓限额制度的谘询总结

New speech by Julia Leung: Keynote speech at HKIFA 16th Annual Conference

梁凤仪的新演说：在香港投资基金公会第16届年会上的主题演说

May 31, 2023

Circular on transitional arrangements of the new licensing regime for virtual asset trading platforms

May 31, 2023

有关专为虚拟资产交易平台而设的全新发牌制度的过渡安排的通函

Circular on implementation of new licensing regime for virtual asset trading platforms

有关实施专为虚拟资产交易平台而设的全新发牌制度的通函

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

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（索马里）规例》

SFC and Police joint operation against a suspect of illegal short selling and fraudulent activities

May 31, 2023

证监会与警方对涉嫌从事非法卖空及欺诈活动的疑犯采取联合行动

May 25, 2023

Circular to Licensed Corporations and Associated Entities - Revised financial return form, analysis of client assets for associated entity and audit questionnaire

致持牌法团及有联系实体的通函 - 经修订的财务申报表表格、有联系实体的客户资产的分析及审计问卷

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Yemen) Regulation 2019 (Amendment) Regulation 2023

May 25, 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 - 《2023年〈2019年聯合国制裁（也门）规例〉（修订）规例》

Licence applicant convicted of providing false information to the SFC

牌照申请人被裁定向证监会提供虚假资料罪成

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

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 - 修订有关打击洗钱及恐怖分子资金筹集的指引

SFC obtains disqualification orders against former directors of Luxey International (Holdings) Limited

证监会取得针对荟萃国际（控股）有限公司前任董事的取消资格令

SFC concludes consultation on regulation of virtual asset trading platforms

证监会就虚拟资产交易平台的监管发表谘询总结

SFC consults on revisions to takeovers and share buy-back rules

证监会就修订收购及回购规则展开谘询

Ramp-and-dump suspect arrested for breaches of court bail conditions

“唱高散货”骗案疑犯因违反法院保释条件被捕

May 18, 2023

SFC reprimands and fines China On Securities Limited $6 million for failures as share placement agent

中安证券有限公司因作为股份配售代理的缺失遭证监会谴责及罚款600万元

New speech by Julia Leung: Luncheon remarks at Hong Kong REITS Association

梁凤仪的新演说：在香港房托基金协会午餐会上的演说

SFC welcomes appointment of Executive Director

May 15, 2023

证监会欢迎执行董事的任命

Swap Connect commences today

"互换通"今天正式启动

The People’s Bank of China, Securities and Futures Commission and Hong Kong Monetary Authority to commence mutual access between the Mainland and Hong Kong interest rate swap markets

中国人民银行、香港证券及期货事务监察委员会、香港金融管理局即将正式启动香港与内地利率互换市场互联互通合作

SFC commences MMT proceedings against former bank employee over alleged insider dealing

证监会就前银行雇员涉嫌进行内幕交易在审裁处展开研讯程序

May 2, 2023

SFC obtains court order to freeze assets of suspected insider dealers of I.T Limited shares

证监会取得法庭命令冻结涉嫌就I.T Limited股份进行内幕交易人士的资产

SFC and CSRC hold high-level enforcement cooperation meeting

证监会与中国证监会举行高层执法合作会议

April 28, 2023

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

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

Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for Exchange Participants

致本身为香港联合交易所有限公司或香港期货交易所有限公司参与者的持牌法团的通函 - 交易所参与者的持牌人保险计划

New synopsis: Julia Leung at Bloomberg Policy Series dialogue

新发言摘要：梁凤仪于彭博政策系列的访谈

SFC announces carbon neutrality commitment

证监会公布碳中和承诺

SFC bans Peter Law Chi Kin for 10 years and fines him $535,500

证监会禁止罗致健重投业界十年并处以罚款535,500元

SFC issues restriction notices to 10 brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam

证监会向十家证券行发出限制通知书冻结与疑似社交媒体“唱高散货”骗局有关的客户帐户

Two additional syndicate members charged in ramp-and-dump case

再有两名“唱高散货”集团成员被检控

Consultation on annual update to Financial Services Providers list under OTC derivatives regulatory regime

关于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的谘询

SFC seeks court orders to disqualify former directors and ex-chief financial controller of China Candy Holdings Limited

证监会寻求法庭颁令取消中国糖果控股有限公司前董事及前财务总监的资格

SFC issues restriction notices to three brokers to freeze accounts of clients involved in suspected corporate misconduct

证监会向三家经纪行发出限制通知书以冻结涉及怀疑曾从事企业失当行为的客户帐户

Another suspected core member of syndicate charged in ramp-and-dump case

再有“唱高散货”集团的怀疑骨干成员被检控

SFC welcomes Stock Exchange consultation on climate-related reporting requirements for listed companies

证监会欢迎联交所就适用于上市公司的气候相关汇报规定展开谘询

New speech by Keith Choy: Keynote Speech at Hong Kong Web3 Festival 2023

蔡钟辉的新演说：在2023香港Web3嘉年华的主题演说

SFC reprimands and fines Ninety One Hong Kong Limited $1.4 million for unlicensed futures trading

证监会就无牌期货交易谴责晋达资产管理香港有限公司并处以罚款140万元

April 6, 2023

Suspected core member of syndicate charged in ramp-and-dump case

“唱高散货”集团怀疑骨干成员被检控

Six more charged in SFC and Police joint operation against sophisticated ramp-and-dump syndicate

证监会与警方对组织严密的“唱高散货”集团采取联合行动后再检控六人

Appointments to SFC committees

证监会委任各委员会成员

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism - United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019 (Amendment) Regulation 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 - 《2023年〈2019年聯合国制裁（刚果民主共和国）规例〉（修订）规例》

Circular to licensed corporations - Data risk management

致持牌法团的通函 - 数据风险管理

Circular to licensed corporations - Management of operational and remote booking risks of trading activities

致持牌法团的通函 - 有关交易活动的运作及离岸入帐风险管理

SFC publicly criticises Cheung Chi Shing for breach of the Takeovers Code

证监会公开批评张志诚违反《收购守则》

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

致中介人、负责人员及持牌代表的通函 - 宽免牌照年费

SFC consults on proposed subsidiary legislation for implementing an uncertificated securities market in Hong Kong

证监会就在香港实施无纸证券市场而建议制订的附属法例展开谘询

SFC concludes consultation on introduction of new regulated activity for depositaries of public funds

证监会就引入适用于公众基金存管人的新一类受规管活动发表谘询总结

Court reaffirms SFC’s power of issuing restriction notices

法庭再次确认证监会发出限制通知的权力

SFC publishes quick reference guides for licensing requirements

证监会发表有关发牌规定的简易参考指南