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Publications

2023-09
JPEX saga: Are DAO tokens regulated in Hong Kong?
2023-08
Determining price sensitive information during trading suspension
2023-07
Disciplinary action for internal control failures on employee dealings
2023-02
Consultation paper on proposals to enhance the regulation of crowdfunding activities
2022-12
SFC’s implementation of the Investor Identification Regime and OTC Securities Transaction Reporting Regime
2022-08
Fining licensed corporations for AML failures in the absence of loss
2022-07
Tackling fraudulent schemes by the SFC
2022-06
SFC unveils proposed amendments to the SFO for potent enforcement
2022-05
Disciplinary action by SFC for AML breaches
2022-04
Dual disciplinary actions by the SFC and the SEHK for BCAN-related breaches
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