Regulatory News (Nov 2016)
- Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of $2 million for late disclosure of inside information
- Mandatory online submission of individual licensing applications, notifications and annual returns
- Launch of Shenzhen-Hong Kong Stock Connect
- Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission
- SFC proposes to enhance asset management regulation and point-of-sale transparency
- SFC publicly censures Zheng Dunmu and imposes a cold-shoulder order for breach of the Takeovers Code
- SFC bans Benedict Ku Ka Tat for one year and fines him $150,000
- SFC bans Derek Ong for 10 years
- Court of Final Appeal dismissed leave application of C.L. Management Services Limited and its sole owner
- New speech by Ms Bénédicte Nolens: Fintech and Regtech: A Securities Regulator’s Perspective
- New speech by Thomas Atkinson: 7th Pan Asian Regulatory Summit
- Market Misconduct Tribunal finds AcrossAsia Limited, its CEO and former chairman culpable of late disclosure of inside information
- SFC hosts Regtech and Fintech Contact Day 2016
- SFC bans Lawrence Lai for 10 years