Regulatory News (Apr 2019)
- Consultation on further enhancements to the OTC derivatives regime
- Retrial of insider dealing case after Court of Final Appeal dismisses leave application to appeal
- Appointments and re-appointments to SFC Advisory Committee
- SFC welcomes re-appointment of Executive Director
- SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 10 months
- SFC reprimands and fines Nine Masts Capital Limited $1.2 million over naked short selling
- Market Misconduct Tribunal fines Fujikon, its CEO and CFO $1.5 million in total for late disclosure of inside information
- Former director of DBA Telecommunication (Asia) Holdings Limited convicted of issuing false or misleading announcement
- SFC commences insider dealing prosecution against legal adviser
- SFC publishes guidance on enhanced disclosures for green or ESG funds
- SFC publicly criticises Kwok Tse Wah for breaches of Takeovers Code
- SFC concludes consultation on securities margin financing