Entries by Tony Chan

Regulatory News (Dec 2020)

SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation SFC reprimands and fines Fulbright Securities Limited $3.6 million SFC concludes consultation on customer due diligence requirements for open-ended fund companies SFC previews new electronic licensing services SFC proposes amendments to the Code on Pooled Retirement Funds Company secretary […]

Regulatory News (Nov 2020)

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives SFC concludes consultation on changes to the REIT Code SFC bans Pang Hon Pan for 21 months SFC bans Chan Shun King for 24 months SFC supports Chief Executive’s initiatives SFC and ISA sign Fintech cooperation agreement SFC statement […]

Newsletter – July 2020

Content SFC commences false trading prosecution against retail investor SFC bans Lai Wing Fat for 20 months Court of Final Appeal dismisses leave application of Andrew Left Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities […]

Regulatory News (Oct 2020)

New speech by Ashley Alder: Opening remarks at SFC Compliance Forum 2020 SFC consults on climate-related risks in funds SFC suspends Sandra Cheung Wing Yi for 12 months SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings Market Misconduct Tribunal sanctions CMBC Capital Holdings […]

Regulatory News (Sep 2020)

SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures SFC reprimands and fines China Everbright Securities (HK) Limited $2.5 million SFC signs new MoU with the Insurance Authority SFC warns of investment scams on social media SFC suspends Mung Wai Sun for nine months SFC launches consultation on […]