Regulatory News (Jun 2014)
- SFC annual report: upholding standards
- SFC proposes greater flexibility for dissemination of prices and net asset values by authorized funds
- Ernst & Young produces audit working papers in Hong Kong and appeals order over Mainland papers
- SFC commences proceedings against Greencool’s former chairman and seeks to freeze $1.59 billion of his assets to compensate investors
- SFC proposes to amend exemptions for disclosure obligations
- SFC bans Li Tak Wa for 15 months
- Hong Kong and Malaysia host joint seminar on Islamic funds
- Court maintains sentence of market manipulator
- Pacific Sun Advisors Limited and its director convicted of issuing advertisements without SFC authorization
- SFAT affirms SFC decision to suspend Jenny Chan Pik Ha
- SFC bans Christopher Ma Chun Leung for 10 years and Wong Man Chung for two years
- Broker acquitted of illegal short selling
- SFC reprimands and fines Delta Asia Securities Limited