Entries by Tony Chan

Regulatory News (Dec 2018)

SFC bans Kong Kar Bong for 10 years SFC suspends Chan Ho Wai and Lam Wai Kit for nine months SFC survey finds 34% more investment products sold SFC issues quarterly report SFC concludes consultation on amendments to the Code on Unit Trusts and Mutual Funds SFC reprimands and fines SFM HK Management Limited $1.5 […]

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 […]

Newsletter – September 2018

Content Court of Final Appeal dismisses Moody’s appeal Court of Appeal orders retrial in insider dealing case SFC reprimands and fines Huatai Financial Holdings (Hong Kong) Limited HK$800,000 over naked short selling SFC bans Ngo Wing Chun for 12 months 1.     Court of Final Appeal dismisses Moody’s appeal On 3 September 2018, the Court of Final […]

Newsletter – August 2018

Content Market Misconduct Tribunal finds China AU’s former CEO and related persons culpable of market manipulation SFC bans Cham Nga Yin for life Court sets pre-trial date for false or misleading announcement case Consultation Paper on the Proposed Guidelines for Securities Margin Financing Activities SFC reprimands and fines HPI Forex Limited HK$2 million for regulatory […]

Regulatory News (Aug 2018)

SFC bans Fonia Kwok Lai Kwan for 12 months Launch of investor identification for northbound trading under Stock Connect SFC reprimands and fines HPI Forex Limited $2 million for regulatory breaches SFC consultation addresses risks in securities margin financing SFC issues quarterly report Court sets pre-trial date for false or misleading announcement case SFC bans […]

Newsletter – July 2018

Content 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 DBA Telecommunication (Asia) Holdings Limited convicted of making false or misleading announcement SFC reprimands and fines CCB International Capital Limited HK$24 million for sponsor failures SFC reprimands and fines […]

Newsletter – June 2018

Content SFC reprimands and fines Hang Seng Investment Management Limited HK$3 million for regulatory breaches over funds’ cash management SFC reprimands and fines Lau Ki Fung HK$80,000 1.        SFC reprimands and fines Hang Seng Investment Management Limited HK$3 million for regulatory breaches over funds’ cash management On 31 May 2018, the SFC has […]