Entries by Tony Chan

Regulatory News (Aug 2020)

SFC bans Chan Yiu Ting for 18 months Statement on Next Digital Limited SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation SFC statement on sanctions imposed by the US government

Regulatory News (Jul 2020)

Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities Policy Statement by the Securities and Futures Commission Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities Court of Final Appeal dismisses leave application of Andrew Left SFC bans Lai Wing Fat for 20 months SFC […]

Newsletter – June 2020

Content Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities SFC reprimands and fines Potomac Capital Limited HK$800,000 for breaching Financial Resources Rules SFC publicly censures Mr. Fu Kwan for breach of the Takeovers Code SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited […]

Newsletter – May 2020

Content SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited SFC reprimands and fines Mega International Commercial Bank Co., Ltd. HK$7 million for regulatory breaches over CIS sale SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC reprimands and fines Southwest Securities (HK) Brokerage Limited HK$5 million for breaches of […]

Regulatory News (Jun 2020)

SFC office relocation Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions SFC publishes Annual Report 2019-20 SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating […]

Regulatory News (May 2020)

SFC bans Kwok Chau Mo for nine months SFC seeks court order to wind up Combest Holdings Limited SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation SFC welcomes re-appointment of Chief Executive Officer SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of […]