Thomson Reuters: More Asian banks set to follow HSBC in requiring greater KYC details
More Asian banks set to follow HSBC in requiring greater KYC details (2017-04-13)
Author Archive for: tonychan
About Tony Chan
This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
Entries by Tony Chan
Thomson Reuters: HK$7 million AML fine against Coutts shows HKMA is strong regulator
April 18, 2017 in Media Coverage /by Tony ChanHK$7 million AML fine against Coutts shows HKMA is strong regulator (2017-04-13)
CompliancePlus awarded “Best Compliance Service Provider” by AsianInvestor second time in four years
April 3, 2017 in Press Release /by Tony ChanPress release – CompliancePlus awarded “Best Compliance Service Provider” by AsianInvestor second time in four years (31 March 2017)
Regulatory News (Mar 2017)
March 31, 2017 in Regulatory News /by Tony ChanAppointments to SFC committees Market Misconduct Tribunal finds no insider dealing in China Gas shares SFC reprimands and fines Merrill Lynch Far East Limited & Merrill Lynch (Asia Pacific) Limited $15 million over internal control failures SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme SFC concludes consultation on position […]
Newsletter – February 2017
March 22, 2017 in Newsletter /by Tony ChanContent SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited SFC reprimands and fines Value Partners HK$4 million SFC bans Ma Yu Lung for eight years SFC reprimands and fines North Sea Securities Limited HK$700,000 SFC obtains court orders to freeze assets in insider dealing investigation Market Misconduct […]
Regulatory News (Feb 2017)
March 17, 2017 in Regulatory News /by Tony ChanMMT sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information Former investment firm CEO convicted of unlicensed dealing SFC obtains disqualification and $84 million compensation orders against former chairman of First Natural Foods Holdings Limited SFC issues third-quarter report SFC withdraws Restriction Notice issued to a broker in connection with […]
CompliancePlus submitted response to proposal on enhancing asset management regulation and Point-of-sale transparency issued by SFC
February 27, 2017 in Press Release /by Tony ChanPress release – CompliancePlus submitted response to proposal on enhancing asset management regulation and Point-of-sale transparency issued by SFC (24 February 2017)
Newsletter – January 2017
February 2, 2017 in Newsletter /by Tony ChanContent Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct SFC reprimands and fines MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) HK$3 million for regulatory breaches SFC bans Cheung Kwan Po for six months SFC reprimands and fines Chang Chyi SFC bans Choi Siu Ki for […]
Newsletter – December 2016
February 2, 2017 in Newsletter /by Tony ChanContent Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of HK$2 million for late disclosure of inside information SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Titan Petrochemicals Group Limited shares SFC revokes licences of Goodcape Securities Limited and its responsible officers Tang Lin Sun and […]
Apple Daily article on enhancing asset management regulation and point-of-sale transparency
January 24, 2017 in Media Coverage /by Tony Chan賣基金須披露回佣 業界：證監管太多 (2017-01-23)