Regulatory News (Dec 2018)
- SFC reprimands and fines Ardon Maroon Fund Management (Hong Kong) Limited $800,000 for cross trade related failures
- Court orders boiler room fraudsters to compensate investors
- SFC publishes review of SEHK’s performance in regulating listing matters
- SFC commences proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
- SFC and CSRC hold high-level meeting on enforcement cooperation
- SFC announces agreement to enhance the exchange of information under Stock Connect
- SFC concludes consultation on OTC derivatives and conduct risks
- SFC bans Kong Kar Bong for 10 years
- SFC suspends Chan Ho Wai and Lam Wai Kit for nine months
- SFC survey finds 34% more investment products sold
- SFC issues quarterly report
- SFC concludes consultation on amendments to the Code on Unit Trusts and Mutual Funds
- SFC reprimands and fines SFM HK Management Limited $1.5 million over naked short selling
- CSRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities