Regulatory News (Jul 2014)
- SFC welcomes appointment of Non-Executive Directors
- SFC reprimands and fines Bright Smart Securities International (H.K.) Limited
- SFC revokes the licences of Union Securities Limited and its responsible officers Ma Kin Chung and Cheng Tai Ha, and bans both for life
- SFC publishes Consultation Conclusions on Amendments to the Code on Real Estate Investment Trusts
- Former licensee convicted of manipulating derivative warrants and callable bull/bear contracts
- Court freezes $1.2 billion Hisense Kelon shares in Greencool proceedings
- Joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market
- SFC reprimands and fines Ping An of China Securities (Hong Kong) Company Limited $6 million over internal control failures
- SFC launches corporate regulation newsletter
- Fund management business continues to grow in 2013
- SFC bans Fa Kwan Lun for 12 months
- SFC revokes licence of Yip Wan Fung and bans her for life
- SFC suspends Wu Li Jun for six months