Regulatory News (Dec 2016)
- Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct
- SFC bans Lam Yuk Wai for life
- SFC issues further guidance on suitability obligations
- Pilot test on expanded Short Position Reporting
- New SFC measures to heighten senior management accountability
- SFC issues Restriction Notices to two brokers to freeze a client account linked to suspected account hacking and market manipulation
- SFC bans Poon Kin Lung for two years
- SFC revokes licences of Goodcape Securities Limited and its responsible officers Tang Lin Sun and Chang Siu Ming
- SFC publicly criticises Southwest Securities International Investment Limited, Li Zhi Tao and Dong Jiang Wen for breach of the Takeovers Code
- SFC emphasises timely and accurate disclosure of inside information
- SFC and HKEX keep rights issues and open offers under scrutiny
- SFC welcomes appointment of Non-Executive Director
- SFC survey on the selling of investment products
- Update on the SFC’s enforcement approach
- SFC issues second-quarter report
- SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Titan Petrochemicals Group Limited shares
- SFC and FINMA sign agreement on Switzerland-Hong Kong Mutual Recognition of Funds
- New event synopsis: SFC Regtech and Fintech Contact Day 2016
- New speech by Christina Choi: The development of Hong Kong as an asset management centre