This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 735 entries.
Content SFC publicly censures Zhang Qiang for breach of the Takeovers Code Court orders re-trial after allowing SFC’s appeal in illegal short selling case SFC bans Ng Chau for six months SFC reprimands and fines Wu Hon Cheung HK$50,000 SFC reprimands and fines EFG Bank AG HK$2 million Court finds no insider dealing in Integrated […]
SFC obtains disqualification and compensation orders against former chairman and directors of Starlight SFC and FINMA sign Fintech cooperation agreement SFC enforcement priorities for 2018 Court orders Titan’s former senior executive and his mother to make payments to investors over insider dealing in Titan shares SFC issues quarterly report SFC reprimands and fines Interactive Brokers […]
SFC provides guidance on best execution SFC highlights compliance failures in product selling practices SFC obtains court order to disqualify former chairman of Pearl Oriental Oil Limited for six years SFC bans Chan Wai Nun for six months SFC proposes amendments to takeovers rules Court finds no insider dealing in Integrated Distribution Services Group shares […]
信報 : 證監遏買牌 嚴審如新申請 過程長達6個月 購基金公司趨淡 (2018-1-8)
Content Court sets pre-trial date for insider dealing case Court dismisses challenge to SFC’s search warrant and provision of information to Mainland regulator SFC bans Abbie Yip Ka Ying for 18 months SFC reprimands and fines FXCM Asia Limited HK$2 million SFC reprimands and fines Standard Chartered Securities (Hong Kong) Limited HK$2.6 million 1. […]
Content SFC bans Yeung Leung Yuen for three years Court of Appeal upholds SFC’s case of insider dealing and fraud against solicitors HSBC Private Bank (Suisse) SA fined HK$400 million for systemic failures in selling structured products SFC fines Danny Fung Kwong Shing and bans him for life 1. Court of Appeal upholds SFC’s […]
Press Release – CompliancePlus presented prizes to HKU law graduates (6 December 2017)
CSRC and SFC sign MoU to enhance supervisory and enforcement cooperation in futures markets SFC bans Ng Chau for six months Court orders re-trial after allowing SFC’s appeal in illegal short selling case SFC publicly censures Zhang Qiang for breach of the Takeovers Code SFC launches consultation on OTC derivatives and conduct risks New SFC […]
SFC announces investor identification for Northbound trading under Stock Connect Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups SFC fines Danny Fung Kwong Shing and bans him for life HSBC Private Bank (Suisse) SA fined HK$400 million for systemic failures in selling structured products SFC concludes consultation on asset […]
Content Court allows TVB’s judicial review SFC bans Xu Tao for four months Court of Appeal dismissed Moody’s leave application to appeal to the Court of Final Appeal 1. Court allows TVB’s judicial review On 4 October 2017, the Court of First Instance has granted leave and allowed a judicial review of the Takeovers […]