This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
Content Takeovers Panel sanctions Chow Yei Ching, Oscar Chow Vee Tsung and Joseph Leung Wing Kong for breach of Takeovers Code SFAT affirms SFC decision to reprimand and fine The Pride Fund Management Limited for failing to enter into mediation managed by the Financial Dispute Resolution Centre SFC suspends Tai Nga Chun for operating secret […]
Content SFC statement on Hanergy Thin Film Power Group Limited SFC reprimanded BNP Paribas Securities (Asia) Limited HK$11 million for failing to report cross trades to the Stock Exchange SFC banned Yu Chun Chieh for life for misappropriating client’s money SFC concluded consultation on supervisory assistance to regulators outside Hong Kong SFC reprimanded and fined […]
SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach SFC commences MMT proceedings against AcrossAsia Limited, its Chairman and CEO for late disclosure of inside information EY’s appeal over audit working papers discontinued Fund management business reached record high in 2014 SFC proposes changes to financial resources rules New event […]
HKEJ front page interview on PRC-HK Mutual Recognition of Funds (8 June 2015)
SFC statement on the SEHK’s draft proposal on weighted voting rights Former licensee given community services and cold shoulder order for false trading New speech available online Lo Chun Lam convicted of unlicensed futures contracts business SFC publishes Annual Report 2014-15 SFC reprimands and fines Phillip Securities (Hong Kong) Limited $1 million over mis-selling of […]
Content SFC emphasizes proper disclosure of inside information SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Warderly shares SFC reprimands and fines Kingston HK$500,000 for fitness and properness concerns SFC bans Wong Wai Hong for six months for breaching the Code of Conduct SFC recovers HK$190 million for investors of collapsed hedge […]
Press release – CompliancePlus launched new service on PRC-HK Mutual Recognition of Funds (2 June 2015) Watch media interview by TVB in “Financial Magazine”
Why fund risk management is a bigger challenge – (HKEJ) – 20 May 2015
Hong Kong’s hedge fund industry: Why it will continue to grow – (HKEJ) – 12 May 2015
SFC statement on Hanergy Thin Film Power Group Limited Former licensee convicted of false trading SFAT affirms SFC decision to ban Sun Xiao for 13 months Appointments and re-appointments to SFC Advisory Committee SFC and CSRC sign agreement on Mainland-Hong Kong Mutual Recognition of Funds Joint Announcement of China Securities Regulatory Commission and Securities and […]