Regulatory News (Sep 2014)
- The Court of Final Appeal grants leave to Pacific Sun Advisors Limited and its director to appeal
- Court convicts two unlicensed dealers
- Court convicts unlicensed investment portfolio manager
- SFC welcomes re-appointment of its Chief Executive Officer
- SFC publishes consultation conclusions on amendments to professional investor regime and further consults on client agreement requirements
- SFC publishes annual review of SEHK’s performance in regulating listing matters
- SFC suspends Eric Shum Kam Chi for three years for sponsor failures
- New appointments to committees
- SFC commences proceedings against CITIC, its former chairman and executive directors