This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
SFC welcomes appointment of Executive Director of Investment Products SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing Hong Kong’s fund management business holds steady in 2015 SFC welcomes re-appointment of Non-Executive Directors Regulators release further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives […]
Content Licence applicant Chiu Sing Ho convicted of providing false information to SFC SFC reprimands and fines Solid King Securities Limited HK$700,000 SFC bans Yeung Chun Him for 12 months Takeovers Panel rules on breach of Takeovers Code by a subsidiary of Alibaba Group Holding Limited Administrators complete distribution of restoration payments to investors affected […]
Content SFC bans Yuen Siu Lun for seven years SFC suspends Ernest Ho Gar Fai for four months SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for late disclosure of inside information SFC bans […]
SFC publishes Annual Report 2015-16 Former director of NCA International Holdings Limited acquitted of unlicensed activities SFC and HKEX issue joint consultation on listing regulation SFC reprimands and fines State Street Global Advisors Asia Limited $4 million over management of Tracker Fund SFC reprimands and fines Schroder Investment Management (Hong Kong) Limited $1.8 million for […]
SFC obtains disqualification orders against former senior executives of China Best Group Holding Limited SFC reprimands and fines SynerWealth Financial Limited $2.7 million SFC publicly criticises China New Way Investment Limited and related parties for breach of Takeovers Code SFC signs MoU with FINRA to enhance supervision and oversight of Cross-Border Regulated Entities Administrators complete […]
Licence applicant convicted of providing false information to SFC Defendants acquitted of unlicensed dealing SFC formally adopts initiatives to enhance fund authorization process after pilot-run SFC bans Andrew Chow Ho Cheung for life New speech: Speech at HKIFA luncheon SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for […]
Content SFC establishes Fintech Contact Point SFC reprimands and fines Wan Xing HK$200,000 SFC concludes consultation on changes to ATS Guidelines SFC publishes consultation conclusions on Principles of Responsible Ownership SFC bans Raaj Shah for 12 months SFC commences MMT proceedings against Mayer Holdings Limited and its senior management over late disclosure of inside information […]
Content SFC publicly censures Goldman Sachs for breaches of the Takeovers Code HKMA and SFC release conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market SFC bans Chow Chi Keung for life SFC issues third-quarter report SFC bans Alice Yim Ping for three years SFC bans Jia Zhen for 10 months […]
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Appointments to SFC committees SFC suspends Ernest Ho Gar Fai for four months SFC bans Yuen Siu Lun for seven years SFC extends waiver of annual licensing fees SFC welcomes appointment of Executive Director of Enforcement SFC reprimands Unicorn Securities Company Limited and fines it and its former responsible officer $3.2 million SFC bans Ng […]