Hong Kong Law

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    HKEx and SFC Disciplinary Actions in March 2022

    HKEx and SFC Disciplinary Actions in March 2022

    In March 2022, the HKEx announced the results of a disciplinary action against former directors of a Chapter 21-listed investment company and the SFC published the outcomes of 4 disciplinary actions.
    Recent HKEx and SFC Disciplinary Actions

    Recent HKEx and SFC Disciplinary Actions

    Recent HKEx and SFC Disciplinary Actions in February including censures, imposing a prejudice to investors’ interests statement, fining, banning for life, and requiring training on regulatory and legal topics
    SFC Enforcement Actions in January and February 2022

    SFC Enforcement Actions in January and February 2022

    The SFC and HKEX brought a number of disciplinary actions against SFC-licensed intermediaries for regulatory breaches and against HKEX-listed companies for corporate misconduct in the last two months of 2021