HKEx, SFC and HKMA Disciplinary Actions in September 2022

HKEx Imposes Director Unsuitability Statements against Four Current and Former Directors of National Investments Fund Limited (Delisted)

SFC Suspends Tang Kai Shing for Eight Months

SFC Suspends Christopher James Aarons for two years for breaching the SFC Code of Conduct

HKMA Fines Cathay United Bank Company, Limited, Hong Kong Branch HK$11 Million

Directors’ Failure to Cooperate in HKEx Investigation

Listing Committee’s Findings of HKEx Listing Rule Breach

Unauthorised Trading

Failure to Perform Adequate Due Diligence on Customer Supplied Systems

Failure to Conduct Adequate Ongoing Monitoring of Clients’ Fund Movements
Breach SFC Code of Conduct
Anti-Money Laundering and Counter-Terrorist Financing Ordinance
AML Hong Kong
Enhanced due diligence AMLO
Customer due diligence SFC
SFC Code of Conduct

CH-019789 (Webpage Portal)
2022-10-28 (Published)
2022-10-31 (Updated)