This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 735 entries.
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 […]
經濟日報專訊: 押股披露機制 梁定邦：現適時檢討 (2017-04-18)
More Asian banks set to follow HSBC in requiring greater KYC details (2017-04-13)
HK$7 million AML fine against Coutts shows HKMA is strong regulator (2017-04-13)
Press release – CompliancePlus awarded “Best Compliance Service Provider” by AsianInvestor second time in four years (31 March 2017)
Appointments to SFC committees Market Misconduct Tribunal finds no insider dealing in China Gas shares SFC reprimands and fines Merrill Lynch Far East Limited & Merrill Lynch (Asia Pacific) Limited $15 million over internal control failures SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme SFC concludes consultation on position […]
Content SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited SFC reprimands and fines Value Partners HK$4 million SFC bans Ma Yu Lung for eight years SFC reprimands and fines North Sea Securities Limited HK$700,000 SFC obtains court orders to freeze assets in insider dealing investigation Market Misconduct […]
MMT sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information Former investment firm CEO convicted of unlicensed dealing SFC obtains disqualification and $84 million compensation orders against former chairman of First Natural Foods Holdings Limited SFC issues third-quarter report SFC withdraws Restriction Notice issued to a broker in connection with […]
Press release – CompliancePlus submitted response to proposal on enhancing asset management regulation and Point-of-sale transparency issued by SFC (24 February 2017)
Content Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct SFC reprimands and fines MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) HK$3 million for regulatory breaches SFC bans Cheung Kwan Po for six months SFC reprimands and fines Chang Chyi SFC bans Choi Siu Ki for […]