This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 735 entries.
Content Licence applicant convicted of providing false information to SFC SFC commences MMT proceedings against Magic Holdings International Limited and its directors for late disclosure of inside information SFC reprimands and fines Citigroup Global Markets Asia Limited HK$57 million for sponsor failures SFC reprimands and fines Noah Holdings (Hong Kong) Limited HK$5 million for regulatory […]
Content SFC seeks orders to disqualify former senior executives of Far East Holdings International Limited SFC commences MMT proceedings against Fujikon and its senior executives for late disclosure of inside information SFC reprimands and fines Instinet Pacific Limited HK$17.3 million for failures concerning its electronic and algorithmic trading systems and alternative liquidity pool SFC reprimands […]
Content Solicitor and sisters granted leave to appeal to Court of Final Appeal SFC issues restriction notice to broker to freeze client account linked to suspected insider dealing SFC reprimands and fines CLSA Limited HK$9 million over internal control failures SFC reprimands and fines Deutsche Bank AKTIENGESELLSCHAFT and Deutsche Securities Asia Limited HK$8.3 million for […]
SFC publicly censures Liang Guosheng and imposes a cold-shoulder order for breach of the Takeovers Code SFC implements open-ended fund companies regime Account executive convicted and fined for illegal short selling Broker acquitted of illegal short selling Hong Kong’s asset and wealth management business reached $24,270 billion in 2017 SFC reprimands and fines HSBC Broking […]
SFC welcomes CSRC’s new rules to facilitate Mainland investors and fund managers’ access to SFC-licensed corporations’ securities advisory service SFC endorses Exchange’s initiative to tackle backdoor listings DBA Telecommunication (Asia) Holdings Limited convicted of making false or misleading announcement SFC commences MMT proceedings against China Forestry’s former chairman and CEO for suspected disclosure of false […]
SFC reprimands and fines Hang Seng Investment Management Limited $3 million for regulatory breaches over funds’ cash management SFC reprimands and fines Noah Holdings (Hong Kong) Limited HK$5 million for regulatory breaches SFC concludes consultation on disclosure requirements for discretionary accounts Update on the SFC’s real-time regulation SFC concludes consultation on new OFC Rules and […]
SFC proposes enhancements to the Investor Compensation Regime Codes on Takeovers and Mergers and Share Buy-backs align with new listing regime SFC reprimands and fines CN Capital Management Limited and responsible officers $1.2 million over regulatory breaches SFC reprimands and fines Instinet Pacific Limited $17.3 million for failures concerning its electronic and algorithmic trading systems […]
Press Release – CompliancePlus partners with Oriel College, Oxford to promote cross border exchanges (7 May 2018)
SFC concludes consultation on online platforms and further consults on offline requirements for complex products Appointments to SFC committees Regulators consult on further enhancements to the OTC derivatives regulatory regime SFC identifies continued deficiencies in sponsor work Court convicts Chan Chi Kit of unlicensed dealing SFC reprimands and fines UBS Securities Asia Limited $4.5 million […]
Content Court of Final Appeal to hear Moody’s case Court orders Qunxing and former directors to compensate investors over disclosure of false or misleading information SFC reprimands and fines Credit Suisse (Hong Kong) Limited, Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AG HK$39.3 million for regulatory breaches SFC reprimands and fines Interactive Brokers […]