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Latest SFC Decisions Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance

Hong Kong Law

February 2020

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Charltons - Hong Kong Law - 470 - 18 February 2020

Latest SFC Decision Against SFC Licensed Corporations and Unlicensed and SFC Licensed Individuals for Compliance Failures under the Securities and Futures Ordinance

SFC Reported Cases for Compliance Failures under the Securities and Futures Ordinance: mid-December 2019 to mid-February 2020

SFC Banned W. Falcon Asset Management (Asia) Limited’s Former Chairman for Life and ex-CFO for Three Years for Providing False and Misleading Information and Failure of Making Notifications to the SFC

SFC Fined Adamas Asset Management (HK) Limited HK$2.5 million for Regulatory Breaches of Disclosure of Notifiable Interest from February 2013 to March 2016

SFC Reprimanded and Fined FIL Investment Management (Hong Kong) Limited HK$3.5 million for Carrying on Regulated Activity without the Required License and Providing Incorrect Information to the SFC when Applying for Authorisation of a New Fund

SFC Fined RHB Securities Hong Kong Limited $6.4 million for Various Failures in Compliances with Regulatory Requirements

Eastern Magistrates’ Court Convicts Individual for Carrying on Business in Asset Management Without a Licence from the SFC

SFC Issues Restriction Notice to China Fund Securities Limited to Freeze Client Accounts Linked to Suspected Market Misconduct
SFC Announces Decision to Commence Proceedings for Suspected Market Manipulation in the Shares of China Ding Yi Feng
SFC Suspends Shiu Yau Wah for Five Months following SFC Investigation
SFC Announces 12 month Ban on Former Analyst at RHBSHK
SFC Reprimanded and Fined BMI Securities Limited HK$3.7 million for Breaches of AML Regulatory Requirements and Suspended its Responsible Officer for Attributable for the Breaches
SFC Reprimanded and Fined Capital Global Management Limited HK$1.5 million for its Failures to Ensure Compliance with Applicable Laws and Regulations in Distributing Investment Funds and Offering Investment Advice in Taiwan and to Provide Adequate Supervision of Compliance

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