This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
SFC issues quarterly report SFC concludes consultation on regulating trustees and custodians of public funds and further consults on implementation details Court orders insider dealers to pay $12.9 million to investors SFC reprimands and fines South China Commodities Limited $4.8 million for regulatory breaches
Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days (2022-02-17)
SFC reprimands and fines Citigroup Global Markets Asia Limited $348.25 million for serious regulatory failures over client facilitation activities Thematic reviews by ASIC and SFC of the foreign exchange (FX) activities of global financial groups Market Misconduct Tribunal sanctions Tianhe Chemicals Group Limited and its executive director for issuing false or misleading information in the […]
Process Review Panel Report 2020-21 Court convicts Wai Chun Holdings Group Limited and its director of Disclosure of Interests Offences SFC reprimands and fines Grand International Futures Co., Limited $8 million and suspends its responsible officer for regulatory breaches SFC bans Chu Chun Wai for seven months for supervisory failures SFC and CSRC hold high-level […]
Executive Director – Enforcement SFC issues restriction notices to two brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam SFC Regulatory Forum explores Hong Kong’s future role as China’s international financial centre Court finds trio engaged in insider dealing in TeleEye shares SFC bans Ma Kwok Ho and Gee King Yip […]
SFC concludes consultation on conduct requirements for bookbuilding and placing activities SFC concludes consultation on amendments to the Code on Pooled Retirement Funds SFC bans Lau Tin Yau for life Court upholds conviction of Law Sai Hung over unlicensed activities SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor […]
SFC-ICAC operation leads to conviction of Convoy Global’s former senior executives SFC concludes consultation on anti-money laundering guidelines New speech by Tim Lui: Opening address at ACCA Hong Kong Virtual Annual Conference 2021 New synopsis by Christina Choi: Webinar at Hong Kong Securities and Investment Institute
Press Release: CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures (20 Sep 2021)
FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands (2021-09-01)