Entries by Tony Chan

Newsletter – January 2016

February 3, 2016 in /by

Content SFC reprimands and fines Lui Chi Hang HK$300,000 Licence applicant convicted of providing false or misleading information to SFC SFC bans Steven John Barrett for 10 months Court freezes bank accounts of suspected boiler rooms Court finds two solicitors engaged in insider dealing and fraud or deception SFC bans Liu Hsiang-wen for eight months […]

Newsletter – December 2015

February 3, 2016 in /by

Content SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case SFC proposes to expand short position reporting SFC issues second-quarter report SFC publishes consultation conclusions on client agreement requirements Court dismisses appeal by a […]

Regulatory News (Feb 2016)

February 3, 2016 in /by

SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million Arrest warrant issued for alleged insider dealer Executive Director, Intermediaries Division SFC concludes on expanding scope of short position reporting SFC bans Jia Zhen for 10 months Second SFC Regulatory Forum focuses on market connectivity SFC bans Alice Yim Ping for three years […]

Regulatory News (Jan 2016)

January 12, 2016 in /by

SFC bans Liu Hsiang-wen for eight months Court finds two solicitors engaged in insider dealing and fraud or deception Court freezes bank accounts of suspected boiler rooms SFC bans Steven John Barrett for 10 months Licence applicant convicted of providing false or misleading information to SFC SFC reprimands and fines Lui Chi Hang $300,000

Regulatory News (Dec 2015)

December 15, 2015 in /by

SFC suspends Fabiano Hugues Joseph Mascolo for three months SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities SFC bans Suen King Shan for four years Takeovers Panel rules on general offer obligation for The Cross-Harbour (Holdings) Limited SFC authorizes first batch of funds under Mainland-Hong Kong Mutual Recognition of Funds initiative […]