Search

SFC and HKEX Launch Technology Enterprises Channel

The Securities and Futures Commission (SFC) and Hong Kong Exchanges and Clearing Limited (HKEX) have launched a new Technology Enterprises Channel (TECH) to facilitate listing applications from specialist technology and biotech companies. This initiative includes a new confidential filing option and updated guidance on listing requirements.

SFC Regulatory Roadmap for Hong Kong Virtual Asset Market

The Securities and Futures Commission (SFC) of Hong Kong has released a regulatory roadmap titled 'A-S-P-I-Re' outlining its strategy for the virtual asset market. The roadmap details five pillars aimed at streamlining market entry, optimizing compliance, expanding product offerings, modernizing infrastructure, and empowering investors.

CFTC Staff Letters on No-Action Positions

The CFTC has published staff letters providing no-action positions on various regulations. These letters offer guidance and relief to market participants regarding specific regulatory requirements. The CFTC staff letters are available on their website for review.

CFTC Staff Letters and Guidance

The Commodity Futures Trading Commission (CFTC) provides access to its staff letters and guidance documents issued from 2008 onwards. This resource is intended to offer clarity and interpretation on various regulations under the CFTC's purview.

CFTC Staff Letters Offer Guidance on Regulatory Matters

The Commodity Futures Trading Commission (CFTC) provides access to staff letters offering guidance on various regulatory matters. These letters, available from 2008 onwards, cover a wide range of topics and regulations relevant to market participants.

CFTC Exempts Senior Employees from QEP Requirements

The CFTC has issued guidance exempting certain senior employees from the definition of 'Qualified Eligible Person' (QEP) under CFTC regulations. This exemption applies to individuals who meet specific compensation and experience criteria, aiming to reduce regulatory burdens for market participants.

CFTC Staff Letters on Digital Assets

The CFTC has published staff letters providing regulatory guidance on digital assets. These letters offer interpretations and no-action relief related to various regulations under the Commodity Exchange Act. They are intended to assist market participants in navigating compliance requirements.

SFC Bans Andy Lau Ka Ho for Life

The Securities and Futures Commission (SFC) has banned Andy Lau Ka Ho from the industry for life following findings of misconduct. This action stems from his involvement in the IPO of a company where he acted as a sponsor.

SFC Enforcement: Retail Trader Sentenced for False Trading

The Securities and Futures Commission (SFC) announced that a retail trader has been sentenced in a false trading case. This action highlights the SFC's commitment to maintaining market integrity and deterring manipulative trading practices.

SFC Obtains Compensation and Disqualification Orders

The Securities and Futures Commission (SFC) has successfully obtained compensation and disqualification orders against individuals involved in misconduct. These orders aim to protect investors and maintain market integrity by holding wrongdoers accountable.