Securities and Futures Commission

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    Securities / Derivatives

    SFC Consults on Proposals to Streamline Regulatory Processes

    By Sanday Chongo Kabange | 31/03/2025

    For post-IPO matters, the SFC proposes a less disruptive alternative to suspension. For trading suspensions, applications for resumption will be processed more quickly

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    Crypto / Digital Assets

    SFC Approves Launch of “World’s First” Tokenised Money Market ETF

    By Manesh Samtani | 29/03/2025

    HashKey and Bosera said the new ETFs will provide investors an instrument that “balances traditional stability with the agility and flexibility of digital assets”.

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    Enforcement

    SFC Penalises Brokerage and MiC for Poor Margin Financing Controls

    By Sanday Chongo Kabange | 25/03/2025

    The SFC fined Enlighten Securities HKD 5 million and suspended its manager-in-charge for seven months.

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    Enforcement

    SFC Suspends Former Securities Broker Over ‘Finfluencer’ Activities

    By Mark Johnston | 24/03/2025

    The former Tse’s Securities representative provided investment advice through a subscription-based chat group on Telegram he hosted without a licence.

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    Market Infrastructure

    Hong Kong SFC Issues Further IPO Subscription Guidance

    By Sanday Chongo Kabange | 21/03/2025

    The SFC has directed licensed corporations to stop engaging in “imprudent and aggressive” IPO financing practices.

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    Enforcement

    SFC Impose 14-Month Ban on Former Fund Manager

    By Sanday Chongo Kabange | 21/03/2025

    The SFC said the action is related to disciplinary actions against “other related entities” concerning the management of various private funds.

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    Crypto / Digital Assets

    What’s Next for OSL? Gary Tiu Discusses Project Ensemble and the Future of Finance

    By Nithya Subramanian | 19/03/2025

    Gary Tiu, Head of Regulatory Affairs at OSL, discusses the firm’s role in Project Ensemble, its challenges, and the future of tokenised real-world assets.

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    Securities / Derivatives

    SFC Issues Guidance on Resumption of Licensing Fee Collection

    By Sanday Chongo Kabange | 18/03/2025

    The SFC issued a quick guide and related FAQs to help the industry better manage matters related to annual licensing fee payment.

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    Market Infrastructure

    HKEX Considers Lowering Board Lot Sizes to Boost Liquidity

    By Mark Johnston | 17/03/2025

    HKEX is reportedly considering mandating that brokers charge the same price for trading single shares as they do for board lots.

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    Enforcement

    Korea Identifies Stock Fraud Involving Convertible Bond Issuance

    By Thisanka Siripala | 13/03/2025

    South Korea’s financial watchdog exposes fraud ring behind fake capital raising and market rigging.

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