Corporate news

In this sub-section, you will find news on the SFC's corporate activities, for example, executive and board member appointments, the naming of individuals to sit on panels and committees, organisational changes and cross-border collaboration initiatives. It also includes announcements of consultations and their conclusions, and releases of publications and executive speeches.

Date Title
18 Sep 2020 SFC launches consultation on anti-money laundering guidelines
16 Sep 2020 SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code
11 Sep 2020 SFC statement on Police investigation concerning Next Digital shares
11 Sep 2020 Changes to the open-ended fund companies regime take effect
2 Sep 2020 SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements
28 Aug 2020 Hong Kong-Mainland ETF cross-listing approved
25 Aug 2020 Hong Kong’s asset and wealth management business reports strong growth in 2019
20 Aug 2020 SFC issues quarterly report
11 Aug 2020 Statement on Next Digital Limited
8 Aug 2020 SFC statement on sanctions imposed by the US government
19 Jul 2020 Policy Statement by the Securities and Futures Commission
6 Jul 2020 SFC welcomes appointment of Non-Executive Directors
2 Jul 2020 SFC publishes review of SEHK’s performance in regulating listing matters
30 Jun 2020 SFC office relocation
24 Jun 2020 Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
24 Jun 2020 SFC publishes Annual Report 2019-20
18 Jun 2020 SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code
11 Jun 2020 SFC publicly censures Fu Kwan for breach of the Takeovers Code
10 Jun 2020 OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements
10 Jun 2020 SFC CEO reappointed Chair of IOSCO Board

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