Regulatory News (Dec 2013)
- 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