SFC reprimands and fines Guotai Junan Securities HK$25.2 million for AML regulatory breaches
On 23rd June 2020, the SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited HK$25.2 million for multiple internal control...
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Mok & Co., Solicitors
May 7, 20201 min read
SFC reprimands and fines Mega International Commercial Bank Co., Ltd. HK$7 million
On 7th May 2020, the SFC reprimands and fines Mega International Commercial Bank Co., Ltd. ("Bank") for HK$7 million on the grounds that...
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Mok & Co., Solicitors
Apr 24, 20201 min read
Fluctuating overseas crude oil futures market attracts claims
On 24th April 2020, the SFC issued a circular to the managers of SFC-authorised exchange traded funds (ETFs) and intermediaries reminding...
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Mok & Co., Solicitors
Apr 20, 20202 min read
SFC reprimands and fines BOCOM International Securities $19.6 million
The SFC announces on 20th April 2020 that it has reprimanded and fined BOCOM International Securities (which is licensed to conduct Types...
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Mok & Co., Solicitors
Apr 13, 202010 min read
Challenge SFC Investigation Powers
The Court recognizes SFC’s powers to access personal materials not relevant to SFC’s investigation On Valentine’s day 14th February 2020,...
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Mok & Co., Solicitors
Apr 13, 20205 min read
Out of Touch and Unrealistic Securities Laws in Hong Kong
Hong Kong securities laws and regulations The application of the concepts of fairness and equality in securities laws and regulations has...
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Mok & Co., Solicitors
Apr 12, 20201 min read
Apply time extension to file audited accounts and compliance report with SFC
In view of the recently rapid spread of the novel coronavirus epidemic in Hong Kong and worldwide, if a SFC licensed corporation is not...
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