2013 – CompliancePlus Consulting Limited

Regulatory News (Dec 2013)

December 3, 2013/in Regulatory News /by Tony Chan

Court continues interim injunction to freeze assets of Qunxing
Tiger Asia admits insider dealing and ordered to pay investors $45 million
SFC reprimands and fines HSBC Securities Brokers (Asia) Limited $5 million for providing inaccurate information in licence application
SFC unveils report on trends in risk and risk mitigation
SFC bans Ivy Kiu Koon Yee for life
SFC issues second-quarter report
SFC steps up oversight of corporate conduct
Court orders insider dealer Du Jun to pay $23.9 million to investors
Retail investor sentenced for false trading
SFC bans Kwan Hung Kei for life
SFC reprimands and fines broker for breaching telephone recording requirements
SFC, HKMA and The Royal Bank of Scotland N.V. reach agreement on Lehman Brothers-related equity-linked notes sold to professional investors
SFC publishes annual review of SEHK’s performance in regulating listing matters

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Regulatory News (Nov 2013)

November 11, 2013/in Regulatory News /by Tony Chan

Retail investor convicted of false trading
SFC sanctions Daqing Dairy and its directors
SFC suspends Stephen Cho Yu Kwan, reprimands and fines Ju You Li
SFC commences disciplinary proceedings against Chow Yei Ching and others for alleged breach of Takeovers Code
SFC surveys participants in Hong Kong OTC derivatives market
SFC bans Sui Yu for regulatory breaches
Unlicensed futures contract adviser given suspended jail sentence
SFC welcomes appointment of Non-Executive Directors
PME Group director acquitted of making false or misleading announcements

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CompliancePlus awarded the “Best Compliance Services Provider 2013” by AsianInvestor

November 11, 2013/in Press Release /by Tony Chan

Press Release – CompliancePlus awarded the “Best Compliance Services Provider 2013” by AsianInvestor (11 Nov, 2013)

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CompliancePlus sponsoring Asian Financial Forum 2014

October 29, 2013/in Press Release /by Tony Chan

Press Release – CompliancePlus sponsoring Asian Financial Forum 2014 (23 Oct, 2013)

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Regulatory News (Oct 2013)

October 10, 2013/in Regulatory News /by Tony Chan

SFC suspends Chen Chi Hing
Former licensee convicted of illegal short selling
Court dismisses application to strike out SFC insider dealing and fraud case
Process Review Panel Report 2012-2013
Unlicensed futures contract adviser in jail custody after conviction
Court gives directions in the winding-up proceedings of China Metal Recycling (Holdings) Limited
SFC signs MoU with the Financial Regulatory Commission of Mongolia
SFC bans Chan Ka Chun for life

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Regulatory News (Q3 2013)

August 13, 2013/in Regulatory News /by Tony Chan

SFC and SEHK publish revised Joint Policy Statement regarding listing of overseas companies
SFC reprimands and fines Law Kwan Ming
SFC commences disciplinary proceedings against chairman of Pearl Oriental Oil Limited and others for alleged breach of Takeovers Code
SFC suspends former responsible officer of China Securities Holdings Limited
SFC signs MoU with European authorities on supervision of alternative investment fund managers
SFC bans Koo Yiu Chee for eight months
Court orders re-trial on insider dealing case
Regulators release conclusions on further proposals for regulating OTC derivatives market
Market Misconduct Tribunal sets date for Tiger Asia hearing
Corporate investor convicted of illegal short selling
SFC reprimands and fines Sun On Tat Securities Company Limited and its responsible officer $1.8 million
Court orders winding up of Salisbury Securities Limited
SFC outlines regulation of collective investment schemes
Market manipulator sentenced to community service
Court convicts unlicensed adviser on futures contracts
SFC reprimands and fines China Securities Holdings Limited $1.3 million and banned its responsible officer for 27 months
SFC suspends Ching Yim Har for three years
SFC issues guidelines on CPSS-IOSCO Principles for financial market infrastructures
Investor convicted of market manipulation
PME Group convicted of making false or misleading announcements
Court continues appointment of provisional liquidators for China Metal Recycling (Holdings) Limited
Premature selling of placing shares may constitute illegal short selling
SFC seeks disqualification orders against former senior executives of China Best Group Holding Limited
SFC seeks to wind up China Metal Recycling (Holdings) Limited
SFC reprimands and fines A One Investment Company Limited $1.2 million and suspends its responsible officer for internal control failures
Retail investor convicted of illegal short selling
Fund management business records strong growth in 2012
SFC, HKMA and The Royal Bank of Scotland N.V. reach agreement on Lehman Brothers-related equity-linked notes
SFC commences Market Misconduct Tribunal proceedings against Tiger Asia
SFC reprimands Hampton Securities (Asia) Limited and revokes licence of Daniel Lam Ka Kuen for window dressing activities
SFC bans Mok Kin Hung for life

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Media coverage

July 3, 2013/in Media Coverage /by Tony Chan

Media coverage (2014-01-02)
Media coverage (2013-05-10)
Media coverage (2013-02-27)
Media coverage (2012-12-31)
Media coverage (2012-11-12)
Media coverage (2012-08-06)
Media coverage (2012-06-27)
Media coverage (2012–05-22)
Media coverage (2012-02-17)
Media coverage (2011-06-27)
Media coverage (2011-03-21)
Media coverage (2010-12-20)

Regulatory News (Q2 2013)

July 3, 2013/in Regulatory News /by Tony Chan

Court appoints provisional liquidators for Salisbury Securities Limited
SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $1.6 million for regulatory breaches
SFAT allows review for ex-Deutsche trader over trading of HSBC shares
SFC reprimands and fines UBS Securities Hong Kong Limited HK$1.6 million for regulatory breaches
Court dismisses SFC’s appeal against fund manager’s acquittal
Court of Final Appeal gives reasons for dismissal of Tiger Asia appeal
SFC seeks court orders against founder and former chairman of First Natural Foods
SFC reprimands and fines Sun Hung Kai Investment Services Limited
Retail investor convicted of false trading

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2013-07-03 12:42:332015-09-08 00:13:28Regulatory News (Q2 2013)