Regulatory News (Jan 2017)
- SFC reprimands and fines North Sea Securities Limited $700,000
- SFC bans Ma Yu Lung for eight years
- SFC reprimands and fines Value Partners $4 million
- SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited
- SFC and SEHK issue joint statement on GEM initial public offerings
- Joint statement regarding the price volatility of GEM stocks
- SFC signs MoU with SEC to enhance supervision of Cross-Border Regulated Entities
- New speech by Julia Leung: Keynote speech at AIMA APAC Annual Forum 2017
- Court of Appeal dismisses leave application of Citron Research’s Andrew Left
- SFC bans Choi Siu Ki for nine months
- SFC reprimands and fines Chang Chyi
- SFC bans Cheung Kwan Po for six months
- SFC reprimands and fines MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) $3 million for regulatory breaches