Regulatory News (Sep 2019)
- SFC releases FAQs on its Guidelines for Securities Margin Financing Activities
- SFC issues restriction notice to a broker to freeze client accounts related to a corporate officer’s suspected breach of duties
- SFC proposes to regulate trustees and custodians of public funds
- SFC bans Ye Feng for life
- SFC obtains disqualification order against former executive director of Life Healthcare Group Limited
- SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Meadville Holdings Limited shares
- SFC bans Jacky Cheung Chiu Hung for two years
- SFC reprimands and fines HSBC $2.1 million for breaching telephone recording requirements