Regulatory News (Feb 2019)
- SFC suspends CMS’s former responsible officer Wu Yinong for 18 months
- Court of Appeal dismisses appeal by Andrew Left
- SFC issues quarterly report
- Update on the SFC’s front-loaded regulation of listing matters
- Former GEM-listed group finance manager jailed for four months for insider dealing
- SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $15.2 million for breaches of anti-money laundering regulatory requirements
- SFC issues restriction notices to three brokers to freeze client accounts related to suspected market misconduct
- Court dismisses judicial review application against SFC
- SFC revokes W. Falcon Asset Management (Asia) Limited’s licence
- New measures to update the SFC’s licensing processes