CompliancePlus Charity MIC Seminar
- 深水埗明哥講compliance? (2017-06-05)
Regulatory News (May 2017)
- 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
Regulatory News (Apr 2017)
- 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