Regulatory News (Jun 2016)
- SFC publishes Annual Report 2015-16
- Former director of NCA International Holdings Limited acquitted of unlicensed activities
- SFC and HKEX issue joint consultation on listing regulation
- SFC reprimands and fines State Street Global Advisors Asia Limited $4 million over management of Tracker Fund
- SFC reprimands and fines Schroder Investment Management (Hong Kong) Limited $1.8 million for disclosure failures
- New speech: Keynote speech at ASIFMA-GFMA Market Liquidity Conference 2016
- SFC’s Acting Head of Investment Products
- Court rules on appeals over unlicensed activities
- SFC issues Restriction Notice to a broker to stop a client from withdrawing shares and transferring money connected with suspected insider dealing
- New speech: Speech at HKSI luncheon