Archive for month: September, 2019

CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU

September 20, 2019/in Press Release /by Tony Chan

Press Release – CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU (17 Sep 2019)

Regulatory News (Sep 2019)

September 11, 2019/in Regulatory News /by Tony Chan

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

CompliancePlus recognised as APAC CIO Outlook Top 10 RegTech Consulting/ Services Companies – 2019

September 3, 2019/in Media Coverage /by Tony Chan

CompliancePlus recognised as APAC CIO Outlook Top 10 RegTech Consulting/ Services Companies – 2019