Regulatory News (Mar 2015)
- Court sets trial date for indictable prosecution for unlicensed dealing
- Appointments to SFC committees
- SFC obtains disqualification order against former executive director of Tack Fiori International Group Limited
- SFC survey: Hong Kong hedge fund assets hit record high
- Process Review Panel Report 2013-2014
- Court grants order compelling attendance of SFC investigation interview
- SFC welcomes U.S. CFTC exemption for Hong Kong brokers to deal directly with U.S. customers
- SFC reprimands and fines JS Cresvale Securities HK$2.5 million
- Court of Final Appeal allows appeal of Pacific Sun Advisors Limited and its director
- Market Misconduct Tribunal sets date for hearing on alleged false research report
- Opening remarks at SFC’s media luncheon
- Takeovers Panel finds Chow Yei Ching, Joseph Leung Wing Kong and Oscar Chow Vee Tsung in breach of Takeovers Code
- SFC bans Luo Jianglan for six months
- SFC bans Wong Chun Yin for life
- SFC seeks disqualification and compensation orders against former chairman and directors of Inno-Tech Holdings Limited
- SFC seeks comments on Principles of Responsible Ownership