Regulatory News (Aug 2018)
- SFC bans Fonia Kwok Lai Kwan for 12 months
- Launch of investor identification for northbound trading under Stock Connect
- SFC reprimands and fines HPI Forex Limited $2 million for regulatory breaches
- SFC consultation addresses risks in securities margin financing
- SFC issues quarterly report
- Court sets pre-trial date for false or misleading announcement case
- SFC bans Cham Nga Yin for life
- Market Misconduct Tribunal finds China AU’s former CEO and related persons culpable of market manipulation
- SFC cautions against disguised margin financing