Regulatory News (Mar 2019)
- Appointments to SFC committees
- New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019
- SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
- SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products
- SFC reprimands and fines Merrill Lynch Far East Limited $128 million for sponsor failures
- SFC reprimands and fines Morgan Stanley Asia Limited $224 million for sponsor failures
- SFC reprimands and fines Standard Chartered Securities $59.7 million for sponsor failures
- SFC fines UBS $375 million and suspends its licence for one year for sponsor failures
- SFC seeks disqualification orders against former directors of Luxey International (Holdings) Limited
- SFC welcomes appointment of Non-Executive Directors