Regulatory News (July 2015)
- SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach
- SFC commences MMT proceedings against AcrossAsia Limited, its Chairman and CEO for late disclosure of inside information
- EY’s appeal over audit working papers discontinued
- Fund management business reached record high in 2014
- SFC proposes changes to financial resources rules
- New event synopsis: Mainland-Hong Kong Mutual Recognition of Funds Symposium
- SFC bans Laura Kiang Mang Yi for three years
- SFC suspends Tai Nga Chun for operating secret account
- SFC hosts Mainland-Hong Kong Mutual Recognition of Funds Symposium
- SFAT affirms SFC decision to reprimand and fine The Pride Fund Management Limited for failing to enter into mediation managed by the Financial Dispute Resolution Centre
- Takeovers Panel sanctions Chow Yei Ching, Oscar Chow Vee Tsung and Joseph Leung Wing Kong for breach of Takeovers Code
Regulatory News (June 2015)
- SFC statement on the SEHK’s draft proposal on weighted voting rights
- Former licensee given community services and cold shoulder order for false trading
- New speech available online
- Lo Chun Lam convicted of unlicensed futures contracts business
- SFC publishes Annual Report 2014-15
- SFC reprimands and fines Phillip Securities (Hong Kong) Limited $1 million over mis-selling of investment product
- New speech available online
- Executive Director of Enforcement to leave SFC
- SFC concludes consultation on supervisory assistance to regulators outside Hong Kong
- SFC bans Yu Chun Chieh for life
- SFC reprimands and fines BNP Paribas Securities (Asia) Limited $11 million for failing to report cross trades to the Stock Exchange