This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
SFC suspends Cheung Man Chit for two years SFC alerts the public of unauthorised investment schemes SFC and Police conduct joint operation against listed company and senior executives in $450 million corporate fraud case Approval of the launch of an A shares index futures contract SFC concludes consultation on climate-related risks in funds SFC issues […]
Statement on Next Digital Limited Hong Kong’s asset and wealth management business maintained strong growth in 2020 SFC publicly censures BIT Mining Limited for breaches of the Takeovers Code SFC sanctions Sino-Rich Securities & Futures Limited’s responsible officers Warning statement on unregulated virtual asset platforms Cross-Agency Steering Group announces next steps to advance Hong Kong’s […]
明報: 股樓仍旺 金融界：人才流失或三五年浮現 業界稱國安法下銀行面對凍結帳戶被動(2021-07-03)
Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse (2021-06-30)
SFC publishes Annual Report 2020-21 Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC publishes new guidance on ESG fund disclosures SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements Annual update to the list of Financial Services Providers under […]
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SFC supports early vaccination drive SFC reprimands and fines Ewarton Securities Limited $1.5 million Appointments and re-appointments to SFC Advisory Committee SFC warns netizens of online investment scams SFC steps up efforts to combat IPO-related misconduct New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021 Market Misconduct Tribunal sanctions China Medical […]
SFC and Police joint operation against listed company and senior executives SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life New speech by Tim Lui: Speech at National Security Education Day New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021 SFC reprimands and fines Optimas Capital […]
SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches Appointments to SFC committees SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited SFC welcomes appointment and re-appointment of Non-Executive Directors […]
SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators SFC and FRC to enhance collaboration SFC welcomes government budget measures SFC issues quarterly report SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures SFC issues restriction notices to 13 brokers […]