This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
Content Process Review Panel Report 2014-2015 on SFC SFC reprimands and fines Okasan International (Asia) Limited HK$4 million Market Misconduct Tribunal dismisses application by Andrew Left of Citron Research SFC obtains court order to freeze HK$23.5 million assets of Maxim Capital Limited Licence applicant convicted of providing false information to SFC SFC moves to paperless […]
Press Release – CompliancePlus Supporting White Doves in the Past Two Years (30 November 2015)
SFC proposes to expand short position reporting Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories SFC proposes changes to the ATS Guidelines SFC bans Gong Yueyue for 15 years SFC moves to paperless […]
Content Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market SFC obtains disqualification orders against former chairmen and chief executive officer of First China Financial Network Limited SFC bans Wong Chun for eight years over false trading SFC launches pilot initiatives to enhance fund authorization process SFC bans Chan Chi Yuen for […]
Content SFC’s Interim Head of Enforcement Notice to compensation claimants Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Terrorist Financing: (1) United Nations (Anti-Terrorism Measures) Ordinance; (2) US President’s Executive Order 13224 Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance 1. SFC’s Interim […]
Process Review Panel Report 2014-2015 New speech: Keynote address at 2015 ISDA Annual Asia Pacific Conference SFC bans Wong Sze Yiu for six months Takeovers Panel upholds the Takeovers Executive’s decision that no mandatory general offer obligation triggered for China Oriental SFC bans Ko Shu Chuan for six years SFC bans Masashi Yonezawa for 30 […]
Press release – ComplianccePlus presented book prizes to outstanding students of the Clinical Legal Education Course in HKU (12 October 2015)
Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market Notice to compensation claimants SFC’s Interim Head of Enforcement
Content SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach SFC fines BNP Paribus Securities (Asia) Limited HK$15 million for dark liquidity pool-related failures SFAT affirms SFC decision to revoke approval of Miranda Sham Sze Wai as responsible officer over internal control failures SFC issues first quarterly report SFC […]
Public advised to beware of fake SFC calls offering investment opportunities SFC welcomes re-appointment of Executive Directors SFC recovers $23 million for investors from restoration orders against insider dealer Du Jun SFC issues first-quarter report SFAT affirms SFC decision to revoke approval of Miranda Sham Sze Wai as responsible officer over internal control failures TV […]