This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 734 entries.
Court ordered insider dealer Sun Min to pay $15.6 million to investors Court convicts licence applicant for providing SFC with false information Court sets pre-trial date for insider dealing case SFC suspends Chan Wai Ling for 12 months SFC concludes consultation and further consults on changes to financial resources rules SFC signs MoU with FCA […]
Content Court of Appeal upholds SFAT’s ruling on SFC’s disciplinary action against Moody’s over Red Flags Report SFC commences insider dealing prosecutions over proposed privatisation of Integrated Distribution Services Group Former responsible officer convicted and fined for illegal short selling SFC issues restriction notice on IDS Forex HK Limited SFC bans Li Bo for eight […]
Content Court of Appeal dismisses SFC’s appeal against MMT decision SFC reprimands and fines Promising Securities Company Limited HK$3.5 million SFC bans Tsap Wai Ping for two years SFC bans Bernie Wong Ching Man for four months SFC suspends Hui Lam Chiu for six months 1. Court of Appeal dismisses SFC’s appeal against MMT decision […]
Content SFC reprimands and fines Guoyuan Securities Brokerage (Hong Kong) Limited HK$4.5 million for breaches of anti-money laundering guidelines Market Misconduct Tribunal sanctions Mayer Holdings Limited and its current and former senior management for late disclosure of inside information MMT finds no market misconduct in CITIC’s publication of a circular SFC reprimands and fines iSTAR […]
Content Market Misconduct Tribunal sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information SFC reprimands and fines Guangdong Securities Limited HK$3 million for breach of anti-money laundering guidelines and bans former responsible officer of Guangdong Securities Limited for nine months over internal control failures SFC reprimands and fines Zhongtai International […]
Press release – CompliancePlus hosted Charity Seminar on the MIC Regime (11 July 2017) Ming Gor sharing – Highlights Ming Gor sharing – Full version
QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities SFC consults on new OFC Rules and OFC Code SFC welcomes new CEPA agreements Regulators release conclusions on the OTC […]
深水埗明哥講compliance? (2017-06-05)
SFC emphasises liabilities of listed companies’ senior management New speech by Bénédicte Nolens: Update on SFC Fintech initiatives SFC suspends Hui Lam Chiu for six months SFC bans Bernie Wong Ching Man for four months SFC enhances the position limit regime Appointments and re-appointments to SFC Advisory Committee SFC bans Tsap Wai Ping for two […]
Court of Appeal dismisses SFC’s appeal against MMT decision SFC releases report on retail futures brokers Retail investors convicted of illegal short selling New speech by Ashley Alder: Opening remarks at SFC media luncheon New speech by Carlson Tong: Welcoming remarks at SFC media luncheon Joint HKMA-SFC consultation on the OTC derivatives regulatory regime SFC […]