Regulatory News (Mar 2018)
- SFC concludes consultation on online platforms and further consults on offline requirements for complex products
- Appointments to SFC committees
- Regulators consult on further enhancements to the OTC derivatives regulatory regime
- SFC identifies continued deficiencies in sponsor work
- Court convicts Chan Chi Kit of unlicensed dealing
- SFC reprimands and fines UBS Securities Asia Limited $4.5 million in relation to facilitation trading activities
- SFC’s regulatory action halts ICO to Hong Kong public
- Third SFC Regulatory Forum discusses Hong Kong’s competitiveness
- SFC reprimands and fines Deutsche Bank AKTIENGESELLSCHAFT and Deutsche Securities Asia Limited $8.3 million for regulatory breaches
- SFC reprimands and fines CLSA Limited $9 million over internal control failures
- SFC issues restriction notice to broker to freeze client account linked to suspected insider dealing
- SFC and Exchange sign addendum to MOU Governing Listing Matters
- Solicitor and sisters granted leave to appeal to Court of Final Appeal
- SFC publicly criticises Nomura International (Hong Kong) Limited and Lee Yuen Yee, Annisa for breaches of Takeovers Code
- SFC welcomes re-appointment of Executive Director