Regulatory News (May 2014)
- Director of securities firm convicted of providing SFC false or misleading information
- SFAT affirms SFC decision to suspend former responsible officer of China Securities Holdings Limited
- Court orders EY to produce accounting records to SFC
- SFC reprimands and fines Deutsche Bank Aktiengesellschaft $1.6 million for regulatory breaches
- SFC reprimands and fines ICBC International Capital Limited and ICBC International Securities Limited $12.5 million each for failures related to IPO shares subscription
- C.L. Management Services Limited and its director fined $1.5 million for unlicensed activities
- Futures manipulator sentenced to community service
- SFC resolves concerns over Citigroup’s algorithmic trading system
- SFC obtains court orders for GOME to receive $420 million compensation from founder and wife over breaches in share repurchase
- Notice on Potential Regulations Applicable to, and Risks of, Crowd-funding Activities
- SFC outlines risks of crowd-funding and potential regulatory issues
- SFC bans Helen Chow Hoi Ching and Choy Cheuk Tung for life
- SFC reprimands and fines Kaiser $1.7 million