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