Regulatory News (Jul 2017)
- Court ordered insider dealer Sun Min to pay $15.6 million to investors
- Court convicts licence applicant for providing SFC with false information
- Court sets pre-trial date for insider dealing case
- SFC suspends Chan Wai Ling for 12 months
- SFC concludes consultation and further consults on changes to financial resources rules
- SFC signs MoU with FCA on enhanced supervision of Cross-Border Regulated Entities
- Hong Kong’s fund management business grows steadily in 2016
- SFC intervenes directly and at early stage in serious corporate cases
- New speech by Ashley Alder: Speech at HKSI luncheon
- SFC and AMF sign MoU on France-Hong Kong Mutual Recognition of Funds
- SFC issues restriction notice on W. Falcon Asset Management (Asia) Limited