Regulatory News – Page 9 – CompliancePlus Consulting Limited

Regulatory News (Jul 2017)

July 31, 2017/in Regulatory News /by Tony Chan

Court ordered insider dealer Sun Min to pay $15.6 million to investors
Court convicts licence applicant for providing SFC with false information
Court sets pre-trial date for insider dealing case
SFC suspends Chan Wai Ling for 12 months
SFC concludes consultation and further consults on changes to financial resources rules
SFC signs MoU with FCA on enhanced supervision of Cross-Border Regulated Entities
Hong Kong’s fund management business grows steadily in 2016
SFC intervenes directly and at early stage in serious corporate cases
New speech by Ashley Alder: Speech at HKSI luncheon
SFC and AMF sign MoU on France-Hong Kong Mutual Recognition of Funds
SFC issues restriction notice on W. Falcon Asset Management (Asia) Limited

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 Chan2017-07-31 12:33:132017-07-31 12:42:13Regulatory News (Jul 2017)

Regulatory News (Jun 2017)

June 21, 2017/in Regulatory News /by Tony Chan

QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information
Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities
SFC consults on new OFC Rules and OFC Code
SFC welcomes new CEPA agreements
Regulators release conclusions on the OTC derivatives regulatory regime
Market Misconduct Tribunal sanctions Greencool’s former chairman and senior executives for disclosure of false or misleading information
SFC clarifies competence requirements for licensees seeking to enter asset management business
SFC bans Fok Chi Kin for eight months
SFC on inclusion of A shares in MSCI Emerging Markets Index
SFC suspends former responsible officer of iSTAR International Futures Co. Limited for six months
SFC publishes Annual Report 2016-17
SFC and ASIC sign Fintech cooperation agreement
SFC bans Li Bo for eight months
SFC issues restriction notice on IDS Forex HK Limited
Former responsible officer convicted and fined for illegal short selling
SFC commences insider dealing prosecutions over proposed privatisation of Integrated Distribution Services Group
Court of Appeal upholds SFAT’s ruling on SFC’s disciplinary action against Moody’s over Red Flags Report

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 Chan2017-06-21 14:04:262017-07-20 14:35:04Regulatory News (Jun 2017)

Regulatory News (May 2017)

June 1, 2017/in Regulatory News /by Tony Chan

SFC emphasises liabilities of listed companies’ senior management
New speech by Bénédicte Nolens: Update on SFC Fintech initiatives
SFC suspends Hui Lam Chiu for six months
SFC bans Bernie Wong Ching Man for four months
SFC enhances the position limit regime
Appointments and re-appointments to SFC Advisory Committee
SFC bans Tsap Wai Ping for two years
SFC issues guidance on corporate transactions and the use of valuations
SFC and FCA sign Fintech cooperation agreement
Takeovers Panel’s TVB ruling on whitewash waiver and disclosure of shareholding structure
SFC reprimands and fines Promising Securities Company Limited $3.5 million
Takeovers Panel rules on whitewash waiver in relation to TVB
SFC consults on proposals to reduce hacking risks in internet trading
SFC consults on new guidelines on online distribution and advisory platforms
Arrangements for electronic filing of disclosure of interests notifications
New speech by Julia Leung: Supervision in a time of change

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 Chan2017-06-01 13:43:192017-06-01 13:43:19Regulatory News (May 2017)

Regulatory News (Apr 2017)

May 17, 2017/in Regulatory News /by Tony Chan

Court of Appeal dismisses SFC’s appeal against MMT decision
SFC releases report on retail futures brokers
Retail investors convicted of illegal short selling
New speech by Ashley Alder: Opening remarks at SFC media luncheon
New speech by Carlson Tong: Welcoming remarks at SFC media luncheon
Joint HKMA-SFC consultation on the OTC derivatives regulatory regime
SFC welcomes Chief Executive Officer’s re-appointment
SFC enhances access to licensing information
SFC bans Daniel Chen Chi Lik for life
SFC welcomes re-appointment of Non-Executive Director
SFC reprimands and fines iSTAR International Futures Co. Limited $3 million over anti-money laundering-related internal control failures
SFC issues statement on listing of infrastructure project companies
Statement on the SFC’s approach to certain project companies seeking a listing in Hong Kong and the exercise of powers under the Securities and Futures (Stock Market Listing) Rules
Market Misconduct Tribunal finds no market misconduct in CITIC’s publication of a circular
MMT sanctions Mayer Holdings Limited and its current and former senior management for late disclosure of inside information
SFC reprimands and fines Guoyuan Securities Brokerage (Hong Kong) Limited $4.5 million for breaches of anti-money laundering guidelines

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Regulatory News (Mar 2017)

March 31, 2017/in Regulatory News /by Tony Chan

Appointments to SFC committees
Market Misconduct Tribunal finds no insider dealing in China Gas shares
SFC reprimands and fines Merrill Lynch Far East Limited & Merrill Lynch (Asia Pacific) Limited $15 million over internal control failures
SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme
SFC concludes consultation on position limit regime
SFC bans Philip Leung Ming Yin for six months
SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million for regulatory breaches and internal control failures
Market Misconduct Tribunal sanctions Augustine Cheong and his mother for insider dealing in Titan shares
SFC reprimands and fines BOCOM International (Asia) Limited $15 million for sponsor failures
New synopsis: Presentation at Companies Registry Corporate Governance Roundtable
SFC bans former responsible officer of Guangdong Securities Limited for nine months over internal control failures
Implementation of expanded Short Position Reporting
SFC reprimands and fines Guangdong Securities Limited $3 million for breach of anti-money laundering guidelines
SFC proposes to standardise rules for prescribing professional investors

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 Chan2017-03-31 17:38:212017-03-31 17:38:21Regulatory News (Mar 2017)

Regulatory News (Feb 2017)

March 17, 2017/in Regulatory News /by Tony Chan

MMT sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information
Former investment firm CEO convicted of unlicensed dealing
SFC obtains disqualification and $84 million compensation orders against former chairman of First Natural Foods Holdings Limited
SFC issues third-quarter report
SFC withdraws Restriction Notice issued to a broker in connection with client’s suspected insider dealing
SFC seeks court orders against former chairman of Kong Sun Holdings Limited and China Sandi Holdings Limited
SFC bans Li Lee for life
SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million
Market Misconduct Tribunal finds Mayer Holdings Limited and its senior management culpable of late disclosure of inside information
SFC obtains court orders to freeze assets in insider dealing investigation

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Regulatory News (Jan 2017)

January 24, 2017/in Regulatory News /by Tony Chan

SFC reprimands and fines North Sea Securities Limited $700,000
SFC bans Ma Yu Lung for eight years
SFC reprimands and fines Value Partners $4 million
SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited
SFC and SEHK issue joint statement on GEM initial public offerings
Joint statement regarding the price volatility of GEM stocks
SFC signs MoU with SEC to enhance supervision of Cross-Border Regulated Entities
New speech by Julia Leung: Keynote speech at AIMA APAC Annual Forum 2017
Court of Appeal dismisses leave application of Citron Research’s Andrew Left
SFC bans Choi Siu Ki for nine months
SFC reprimands and fines Chang Chyi
SFC bans Cheung Kwan Po for six months
SFC reprimands and fines MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) $3 million for regulatory breaches

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Regulatory News (Dec 2016)

December 8, 2016/in Regulatory News /by Tony Chan

Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct
SFC bans Lam Yuk Wai for life
SFC issues further guidance on suitability obligations
Pilot test on expanded Short Position Reporting
New SFC measures to heighten senior management accountability
SFC issues Restriction Notices to two brokers to freeze a client account linked to suspected account hacking and market manipulation
SFC bans Poon Kin Lung for two years
SFC revokes licences of Goodcape Securities Limited and its responsible officers Tang Lin Sun and Chang Siu Ming
SFC publicly criticises Southwest Securities International Investment Limited, Li Zhi Tao and Dong Jiang Wen for breach of the Takeovers Code
SFC emphasises timely and accurate disclosure of inside information
SFC and HKEX keep rights issues and open offers under scrutiny
SFC welcomes appointment of Non-Executive Director
SFC survey on the selling of investment products
Update on the SFC’s enforcement approach
SFC issues second-quarter report
SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Titan Petrochemicals Group Limited shares
SFC and FINMA sign agreement on Switzerland-Hong Kong Mutual Recognition of Funds
New event synopsis: SFC Regtech and Fintech Contact Day 2016
New speech by Christina Choi: The development of Hong Kong as an asset management centre

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 Chan2016-12-08 18:43:382017-01-24 14:36:12Regulatory News (Dec 2016)

Regulatory News (Nov 2016)

November 2, 2016/in Regulatory News /by Tony Chan

Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of $2 million for late disclosure of inside information
Mandatory online submission of individual licensing applications, notifications and annual returns
Launch of Shenzhen-Hong Kong Stock Connect
Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission
SFC proposes to enhance asset management regulation and point-of-sale transparency
SFC publicly censures Zheng Dunmu and imposes a cold-shoulder order for breach of the Takeovers Code
SFC bans Benedict Ku Ka Tat for one year and fines him $150,000
SFC bans Derek Ong for 10 years
Court of Final Appeal dismissed leave application of C.L. Management Services Limited and its sole owner
New speech by Ms Bénédicte Nolens: Fintech and Regtech: A Securities Regulator’s Perspective
New speech by Thomas Atkinson: 7th Pan Asian Regulatory Summit
Market Misconduct Tribunal finds AcrossAsia Limited, its CEO and former chairman culpable of late disclosure of inside information
SFC hosts Regtech and Fintech Contact Day 2016
SFC bans Lawrence Lai for 10 years

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 Chan2016-11-02 19:14:382016-12-08 18:28:25Regulatory News (Nov 2016)

Regulatory News (Oct 2016)

October 13, 2016/in Regulatory News /by Tony Chan

SFC revokes licences of Richmond Asset Management Limited and its responsible officer Graham Frank Bibby and bans him for 10 years
Process Review Panel Report 2015-2016
Court convicts Gold Root Global Investments Limited of unlicensed dealing
SFC hosts IOSCO Board meeting in Hong Kong
Market Misconduct Tribunal bans Andrew Left of Citron Research from trading securities in Hong Kong
SFC reprimands and fines two JP Morgan entities HK$5.6 million for regulatory breaches
SFC welcomes re-appointment of Non-Executive Director
Takeovers Panel upholds ruling on offer for L&A International
SFC suspends Lo Tsz On for one year
SFC seeks compensation and disqualification orders against former and current directors of Freeman FinTech Corporation Limited
SFC bans Chen Chia Hui for life
SFC bans William Wong Yick Lok for three years

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 Chan2016-10-13 13:06:192016-11-02 18:46:04Regulatory News (Oct 2016)

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