Entries by Tony Chan

Regulatory News (Apr 2021)

SFC and Police joint operation against listed company and senior executives SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life New speech by Tim Lui: Speech at National Security Education Day New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021 SFC reprimands and fines Optimas Capital […]

Regulatory News (Mar 2021)

SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches Appointments to SFC committees SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited SFC welcomes appointment and re-appointment of Non-Executive Directors […]

Regulatory News (Feb 2021)

SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators SFC and FRC to enhance collaboration SFC welcomes government budget measures SFC issues quarterly report SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures SFC issues restriction notices to 13 brokers […]

Regulatory News (Jan 2021)

SFC issues restriction notices to five brokers to freeze client accounts linked to suspected market manipulation Hong Kong and Thailand regulators sign MoU on Mutual Recognition of Funds New speech by Ashley Alder: Special remarks at the Asian Financial Forum 2021 Court upholds jail sentence against former GEM-listed group finance manager for insider dealing Company […]

Regulatory News (Dec 2020)

SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation SFC reprimands and fines Fulbright Securities Limited $3.6 million SFC concludes consultation on customer due diligence requirements for open-ended fund companies SFC previews new electronic licensing services SFC proposes amendments to the Code on Pooled Retirement Funds Company secretary […]

Regulatory News (Nov 2020)

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives SFC concludes consultation on changes to the REIT Code SFC bans Pang Hon Pan for 21 months SFC bans Chan Shun King for 24 months SFC supports Chief Executive’s initiatives SFC and ISA sign Fintech cooperation agreement SFC statement […]

Newsletter – July 2020

Content SFC commences false trading prosecution against retail investor SFC bans Lai Wing Fat for 20 months Court of Final Appeal dismisses leave application of Andrew Left Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities […]