Regulatory News (Nov 2015)
- SFC proposes to expand short position reporting
- Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case
- SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories
- SFC proposes changes to the ATS Guidelines
- SFC bans Gong Yueyue for 15 years
- SFC moves to paperless individual licences
- Licence applicant convicted of providing false information to SFC
- SFC welcomes appointment of Non-Executive Directors
- SFC obtains court order to freeze $23.5 million assets of Maxim Capital Limited
- Launch of SFC Women’s Network
- Market Misconduct Tribunal dismisses application by Andrew Left of Citron Research
- SFC reprimands and fines Okasan International (Asia) Limited $4 million