Entries by Tony Chan

Regulatory News (Mar 2019)

Appointments to SFC committees New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019 SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products SFC reprimands […]

Regulatory News (Feb 2019)

SFC suspends CMS’s former responsible officer Wu Yinong for 18 months Court of Appeal dismisses appeal by Andrew Left SFC issues quarterly report Update on the SFC’s front-loaded regulation of listing matters Former GEM-listed group finance manager jailed for four months for insider dealing SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $15.2 […]

Regulatory News (Jan 2019)

Joint consultation on the model for an uncertificated securities market Market Misconduct Tribunal sanctions China AU’s former CEO and related persons for false trading SFC and CSSF sign MoU on Luxembourg-Hong Kong Mutual Recognition of Funds SFC reprimands and fines FWD Life Insurance Company (Bermuda) Limited $2.4 million for regulatory breaches SFC issues restriction notices […]

Regulatory News (Dec 2018)

SFC reprimands and fines Ardon Maroon Fund Management (Hong Kong) Limited $800,000 for cross trade related failures Court orders boiler room fraudsters to compensate investors SFC publishes review of SEHK’s performance in regulating listing matters SFC commences proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and its former directors for late disclosure of […]

Regulatory News (Nov 2018)

SFC and CSRC hold joint training on digital forensics SFC commences MMT proceedings against Health and Happiness (H&H) International Holdings Ltd and its Chairman for late disclosure of inside information New speech by Ashley Alder: Speech at HKSI Institute Roundtable Luncheon New synopsis: Speech by Brian Ho at the 12th Annual Conference of the Hong […]

Newsletter – October 2018

Content SFC bans Lok Wai Fong for life Court of Final Appeal allows SFC’s appeal against MMT decision on insider dealing in Asia Telemedia Limited shares SFC concludes consultation on amendments to anti-money laundering and counter-financing of terrorism guidelines SFC encourages the public to report fraud and misconduct 1.     SFC bans Lok Wai Fong […]

Regulatory News (Oct 2018)

Court of Final Appeal unanimously dismisses appeal by solicitor and his sisters in fraud case involving overseas listed securities Process Review Panel Report 2017-2018 Appointments to Takeovers-related committees SFC concludes further consultation on the financial resources rules SFC encourages the public to report fraud and misconduct Court of Final Appeal allows SFC’s appeal against MMT […]

Regulatory News (Sep 2018)

SFC announces green finance strategic framework SFC bans Ngo Wing Chun for 12 months New speech by Carlson Tong: Speech at HKGCC’s Town Hall Forum Series New speech by Ashley Alder: Speech at HKIFA luncheon SFC reprimands and fines Huatai Financial Holdings (Hong Kong) Limited $800,000 over naked short selling Court of Appeal orders retrial […]