Archive for month: July, 2018

Regulatory News (Jul 2018)

July 27, 2018/in Regulatory News /by Tony Chan

Regulatory News (Jun 2018)

July 27, 2018/in Regulatory News /by Tony Chan

SFC welcomes CSRC’s new rules to facilitate Mainland investors and fund managers’ access to SFC-licensed corporations’ securities advisory service
SFC endorses Exchange’s initiative to tackle backdoor listings
DBA Telecommunication (Asia) Holdings Limited convicted of making false or misleading announcement
SFC commences MMT proceedings against China Forestry’s former chairman and CEO for suspected disclosure of false or misleading information and former CEO for suspected insider dealing
Regulators conclude consultation on further enhancements to the OTC derivatives regulatory regime
SFC publishes Annual Report 2017-18
SFC proposes margin requirements for non-centrally cleared OTC derivatives
SFC and CSRC hold high-level meeting on enforcement cooperation
SFC reprimands and fines Lau Ki Fung $80,000
New speech by Carlson Tong: Speech at Hong Kong Institute of Directors’ Speaker Luncheon Meeting
CBIRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities
SFC publicly censures Chan Shing and imposes a cold-shoulder order for breach of the Takeovers Code
SFC and FSRA sign Fintech cooperation agreement
SFC signs MoU with BaFin on enhanced supervision of cross-border regulated entities

Regulatory News (May 2018)

July 26, 2018/in Regulatory News /by Tony Chan

Regulatory News (Apr 2018)

July 26, 2018/in Regulatory News /by Tony Chan