Regulatory News (Oct 2016)
- SFC revokes licences of Richmond Asset Management Limited and its responsible officer Graham Frank Bibby and bans him for 10 years
- Process Review Panel Report 2015-2016
- Court convicts Gold Root Global Investments Limited of unlicensed dealing
- SFC hosts IOSCO Board meeting in Hong Kong
- Market Misconduct Tribunal bans Andrew Left of Citron Research from trading securities in Hong Kong
- SFC reprimands and fines two JP Morgan entities HK$5.6 million for regulatory breaches
- SFC welcomes re-appointment of Non-Executive Director
- Takeovers Panel upholds ruling on offer for L&A International
- SFC suspends Lo Tsz On for one year
- SFC seeks compensation and disqualification orders against former and current directors of Freeman FinTech Corporation Limited
- SFC bans Chen Chia Hui for life
- SFC bans William Wong Yick Lok for three years