Regulatory News (Dec 2015)
- SFC suspends Fabiano Hugues Joseph Mascolo for three months
- SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities
- SFC bans Suen King Shan for four years
- Takeovers Panel rules on general offer obligation for The Cross-Harbour (Holdings) Limited
- SFC authorizes first batch of funds under Mainland-Hong Kong Mutual Recognition of Funds initiative
- SFC reprimands and fines three JP Morgan entities a sum of $30 million for regulatory breaches
- SFC obtains interim court orders against Maxim Trader
- Court dismisses appeal by a substantial shareholder against convictions for failing to make disclosure of interests
- SFC publishes consultation conclusions on client agreement requirements
- SFC issues second-quarter report
- New speech: Keynote address at ASIFMA Annual Conference 2015