Regulatory News – Page 7 – CompliancePlus Consulting Limited

Regulatory News (Mar 2019)

March 14, 2019/in Regulatory News /by Tony Chan

Appointments to SFC committees
New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019
SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products
SFC reprimands and fines Merrill Lynch Far East Limited $128 million for sponsor failures
SFC reprimands and fines Morgan Stanley Asia Limited $224 million for sponsor failures
SFC reprimands and fines Standard Chartered Securities $59.7 million for sponsor failures
SFC fines UBS $375 million and suspends its licence for one year for sponsor failures
SFC seeks disqualification orders against former directors of Luxey International (Holdings) Limited
SFC welcomes appointment of Non-Executive Directors

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Regulatory News (Feb 2019)

February 15, 2019/in Regulatory News /by Tony Chan

SFC suspends CMS’s former responsible officer Wu Yinong for 18 months
Court of Appeal dismisses appeal by Andrew Left
SFC issues quarterly report
Update on the SFC’s front-loaded regulation of listing matters
Former GEM-listed group finance manager jailed for four months for insider dealing
SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $15.2 million for breaches of anti-money laundering regulatory requirements
SFC issues restriction notices to three brokers to freeze client accounts related to suspected market misconduct
Court dismisses judicial review application against SFC
SFC revokes W. Falcon Asset Management (Asia) Limited’s licence
New measures to update the SFC’s licensing processes

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Regulatory News (Jan 2019)

January 25, 2019/in Regulatory News /by Tony Chan

Joint consultation on the model for an uncertificated securities market
Market Misconduct Tribunal sanctions China AU’s former CEO and related persons for false trading
SFC and CSSF sign MoU on Luxembourg-Hong Kong Mutual Recognition of Funds
SFC reprimands and fines FWD Life Insurance Company (Bermuda) Limited $2.4 million for regulatory breaches
SFC issues restriction notices to three brokers to prohibit order placing in listed derivative warrants in client accounts linked to suspected market misconduct

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Regulatory News (Dec 2018)

December 11, 2018/in Regulatory News /by Tony Chan

SFC reprimands and fines Ardon Maroon Fund Management (Hong Kong) Limited $800,000 for cross trade related failures
Court orders boiler room fraudsters to compensate investors
SFC publishes review of SEHK’s performance in regulating listing matters
SFC commences proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
SFC and CSRC hold high-level meeting on enforcement cooperation
SFC announces agreement to enhance the exchange of information under Stock Connect
SFC concludes consultation on OTC derivatives and conduct risks
SFC bans Kong Kar Bong for 10 years
SFC suspends Chan Ho Wai and Lam Wai Kit for nine months
SFC survey finds 34% more investment products sold
SFC issues quarterly report
SFC concludes consultation on amendments to the Code on Unit Trusts and Mutual Funds
SFC reprimands and fines SFM HK Management Limited $1.5 million over naked short selling
CSRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities

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Regulatory News (Nov 2018)

November 23, 2018/in Regulatory News /by Tony Chan

SFC and CSRC hold joint training on digital forensics
SFC commences MMT proceedings against Health and Happiness (H&H) International Holdings Ltd and its Chairman for late disclosure of inside information
New speech by Ashley Alder: Speech at HKSI Institute Roundtable Luncheon
New synopsis: Speech by Brian Ho at the 12th Annual Conference of the Hong Kong Investment Funds Association
New speech by Ashley Alder – Fintech: Meeting the regulatory challenges
SFC sets out new regulatory approach for virtual assets

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Regulatory News (Oct 2018)

October 25, 2018/in Regulatory News /by Tony Chan

Court of Final Appeal unanimously dismisses appeal by solicitor and his sisters in fraud case involving overseas listed securities
Process Review Panel Report 2017-2018
Appointments to Takeovers-related committees
SFC concludes further consultation on the financial resources rules
SFC encourages the public to report fraud and misconduct
Court of Final Appeal allows SFC’s appeal against MMT decision on insider dealing in Asia Telemedia Limited shares
SFC concludes consultation on amendments to anti-money laundering and counter-financing of terrorism guidelines
New speech by Thomas Atkinson: Keynote speech at 2018 Refinitiv Pan Asian Regulatory Summit
New look for the SFC
New speech by Julia Leung: Keynote speech at 2018 Refinitiv Pan Asian Regulatory Summit
SFC and FCA sign MoU on United Kingdom-Hong Kong Mutual Recognition of Funds
SFC bans Lok Wai Fong for life
SFC welcomes appointment of Non-Executive Directors
SFC concludes consultation on the offline sale of complex products

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Regulatory News (Sep 2018)

October 4, 2018/in Regulatory News /by Tony Chan

SFC announces green finance strategic framework
SFC bans Ngo Wing Chun for 12 months
New speech by Carlson Tong: Speech at HKGCC’s Town Hall Forum Series
New speech by Ashley Alder: Speech at HKIFA luncheon
SFC reprimands and fines Huatai Financial Holdings (Hong Kong) Limited $800,000 over naked short selling
Court of Appeal orders retrial in insider dealing case
SFC welcomes appointment of Chairman
New speech by Julia Leung: Speech at Hong Kong Chinese Enterprises Association Seminar
Court of Final Appeal dismisses Moody’s appeal

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2018-10-04 12:32:362018-10-04 12:32:36Regulatory News (Sep 2018)

Regulatory News (Aug 2018)

August 15, 2018/in Regulatory News /by Tony Chan

SFC bans Fonia Kwok Lai Kwan for 12 months
Launch of investor identification for northbound trading under Stock Connect
SFC reprimands and fines HPI Forex Limited $2 million for regulatory breaches
SFC consultation addresses risks in securities margin financing
SFC issues quarterly report
Court sets pre-trial date for false or misleading announcement case
SFC bans Cham Nga Yin for life
Market Misconduct Tribunal finds China AU’s former CEO and related persons culpable of market manipulation
SFC cautions against disguised margin financing

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2018-08-15 18:51:402018-10-03 16:15:19Regulatory News (Aug 2018)

Regulatory News (Jul 2018)

July 27, 2018/in Regulatory News /by Tony Chan

SFC publicly censures Liang Guosheng and imposes a cold-shoulder order for breach of the Takeovers Code
SFC implements open-ended fund companies regime
Account executive convicted and fined for illegal short selling
Broker acquitted of illegal short selling
Hong Kong’s asset and wealth management business reached $24,270 billion in 2017
SFC reprimands and fines HSBC Broking Securities (Asia) Limited $9.6 million for regulatory breaches over bond sale
SFC bans Poon Chun Hing for 30 months
SFC bans Joseph Hsu Kar Hing for three years
SFC welcomes appointment of Non-Executive Directors
SFC welcomes re-appointment of Executive Directors
SFC standardises rules for prescribing professional investors
SFC amends takeovers rules
SFC reprimands and fines Citigroup Global Markets Asia Limited $4 million for alternative liquidity pool failures
SFC reprimands and fines CCB International Capital Limited $24 million for sponsor failures
SFC consults on amendments to anti-money laundering and counter-terrorist financing guidelines

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2018-07-27 12:52:082018-08-15 18:44:25Regulatory News (Jul 2018)

Regulatory News (Jun 2018)

July 27, 2018/in Regulatory News /by Tony Chan

SFC welcomes CSRC’s new rules to facilitate Mainland investors and fund managers’ access to SFC-licensed corporations’ securities advisory service
SFC endorses Exchange’s initiative to tackle backdoor listings
DBA Telecommunication (Asia) Holdings Limited convicted of making false or misleading announcement
SFC commences MMT proceedings against China Forestry’s former chairman and CEO for suspected disclosure of false or misleading information and former CEO for suspected insider dealing
Regulators conclude consultation on further enhancements to the OTC derivatives regulatory regime
SFC publishes Annual Report 2017-18
SFC proposes margin requirements for non-centrally cleared OTC derivatives
SFC and CSRC hold high-level meeting on enforcement cooperation
SFC reprimands and fines Lau Ki Fung $80,000
New speech by Carlson Tong: Speech at Hong Kong Institute of Directors’ Speaker Luncheon Meeting
CBIRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities
SFC publicly censures Chan Shing and imposes a cold-shoulder order for breach of the Takeovers Code
SFC and FSRA sign Fintech cooperation agreement
SFC signs MoU with BaFin on enhanced supervision of cross-border regulated entities

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2018-07-27 12:37:562018-07-27 12:43:18Regulatory News (Jun 2018)

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