Regulatory News (Nov 2019)
- New speech by Tim Lui – Asset management in an evolving landscape
- New SFC guidance addresses market misconduct
- SFC bans Ma Sin Chi for life
- SFC reprimands and fines UBS HK$400 million for overcharging clients and related internal control failures
- SFC obtains court orders against former Chairman and directors of Minth Group Limited
- Former staff of Hong Kong Television Network Limited jailed for insider dealing
- New speech by Ashley Alder: Opening remarks at SFC 30th Anniversary Cocktail 2019
- SFC adopts new approach to virtual asset trading platforms
- New speech by Ashley Alder – Fintech: a regulatory strategy for a dynamic industry
- SFC bans Song Baojun for 12 months
- Former staff of Hong Kong Television Network Limited convicted of insider dealing
- SFC issues restriction notice to Hong Kong Wan Kiu Investment Company Limited