Regulatory News (Aug 2016)
- SFC designates central counterparties for OTC derivative transactions
- SFC reprimands and fines BNP Paribas Wealth Management $4 million
- Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct
- SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited $18.5 million over internal control failures
- SFC suspends Ku Yuen Leung for 18 months
- Regulators announce Shenzhen-Hong Kong Stock Connect
- Joint Announcement of the China Securities Regulatory Commission and the Securities and Futures Commission
- SFC issues first-quarter report
- SFC bans and fines Lam Chun Yin and Yeung Chok Cheong
- Market Misconduct Tribunal finds no insider dealing in Warderly shares
- SFC suspends Ko Cho Ting for two years
- SFC fines Quam Capital Limited $800,000 over sponsor failures
- SFC bans Wong Lap Yin for three years