Regulatory News (Apr 2016)
- Licence applicant convicted of providing false information to SFC
- Defendants acquitted of unlicensed dealing
- SFC formally adopts initiatives to enhance fund authorization process after pilot-run
- SFC bans Andrew Chow Ho Cheung for life
- New speech: Speech at HKIFA luncheon
- SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for late disclosure of inside information
- SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report