Regulatory News (Jun 2017)
- QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information
- Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities
- SFC consults on new OFC Rules and OFC Code
- SFC welcomes new CEPA agreements
- Regulators release conclusions on the OTC derivatives regulatory regime
- Market Misconduct Tribunal sanctions Greencool’s former chairman and senior executives for disclosure of false or misleading information
- SFC clarifies competence requirements for licensees seeking to enter asset management business
- SFC bans Fok Chi Kin for eight months
- SFC on inclusion of A shares in MSCI Emerging Markets Index
- SFC suspends former responsible officer of iSTAR International Futures Co. Limited for six months
- SFC publishes Annual Report 2016-17
- SFC and ASIC sign Fintech cooperation agreement
- SFC bans Li Bo for eight months
- SFC issues restriction notice on IDS Forex HK Limited
- Former responsible officer convicted and fined for illegal short selling
- SFC commences insider dealing prosecutions over proposed privatisation of Integrated Distribution Services Group
- Court of Appeal upholds SFAT’s ruling on SFC’s disciplinary action against Moody’s over Red Flags Report