Regulatory News (Jun 2018)
- SFC welcomes CSRC’s new rules to facilitate Mainland investors and fund managers’ access to SFC-licensed corporations’ securities advisory service
- SFC endorses Exchange’s initiative to tackle backdoor listings
- DBA Telecommunication (Asia) Holdings Limited convicted of making false or misleading announcement
- SFC commences MMT proceedings against China Forestry’s former chairman and CEO for suspected disclosure of false or misleading information and former CEO for suspected insider dealing
- Regulators conclude consultation on further enhancements to the OTC derivatives regulatory regime
- SFC publishes Annual Report 2017-18
- SFC proposes margin requirements for non-centrally cleared OTC derivatives
- SFC and CSRC hold high-level meeting on enforcement cooperation
- SFC reprimands and fines Lau Ki Fung $80,000
- New speech by Carlson Tong: Speech at Hong Kong Institute of Directors’ Speaker Luncheon Meeting
- CBIRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities
- SFC publicly censures Chan Shing and imposes a cold-shoulder order for breach of the Takeovers Code
- SFC and FSRA sign Fintech cooperation agreement
- SFC signs MoU with BaFin on enhanced supervision of cross-border regulated entities