Regulatory News (Sep 2016)
- SFC reminder on expanded Short Position Reporting
- New appointment to SFC committees
- SFC notifies the industry of anti-money laundering concerns
- SFC issues Restriction Notice to a broker to stop two clients from withdrawing shares and transferring money connected with suspected insider dealing
- SFC proposes to enhance position limit regime
- SFC reprimands and fines HSBC $2.5 million for regulatory breaches
- SFC commences MMT proceedings against former CEO of China AU and related parties for false trading
- SFC and the Exchange extend deadline for response to the joint consultation on listing regulation
- People fraudulently impersonating staff of Lippo Securities Limited
- SFC bans Chau Hang Yu and Steve Chow Chun Yin for life