Regulatory News (Nov 2017)
- SFC announces investor identification for Northbound trading under Stock Connect
- Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups
- SFC fines Danny Fung Kwong Shing and bans him for life
- HSBC Private Bank (Suisse) SA fined HK$400 million for systemic failures in selling structured products
- SFC concludes consultation on asset management regulation and point-of-sale transparency and further consults on disclosure requirements for discretionary accounts
- New speech by Keith Lui: Keynote address at WFC Global Conference of Central Securities Depositories 2017
- Court of Appeal upholds SFC’s case of insider dealing and fraud against solicitors
- SFC bans Yeung Leung Yuen for three years