Entries by Tony Chan

Regulatory News (Jan 2017)

January 24, 2017 in /by

SFC reprimands and fines North Sea Securities Limited $700,000 SFC bans Ma Yu Lung for eight years SFC reprimands and fines Value Partners $4 million SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited SFC and SEHK issue joint statement on GEM initial public offerings Joint statement regarding […]

Regulatory News (Dec 2016)

December 8, 2016 in /by

Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct SFC bans Lam Yuk Wai for life SFC issues further guidance on suitability obligations Pilot test on expanded Short Position Reporting New SFC measures to heighten senior management accountability SFC issues Restriction Notices to two brokers to freeze a client account […]

Newsletter – November 2016

December 8, 2016 in /by

Content Court convicts Gold Root Global Investments Limited of unlicensed dealing SFC revokes licenses of Richmond Asset Management Limited and its responsible officer Graham frank Bibby and bans him for 10 years SFC bans Lawrence Lai for 10 years Market Misconduct Tribunal finds AcrossAsia Limited, its CEO and former chairman culpable of late disclosure of […]

Regulatory News (Nov 2016)

November 2, 2016 in /by

Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of $2 million for late disclosure of inside information Mandatory online submission of individual licensing applications, notifications and annual returns Launch of Shenzhen-Hong Kong Stock Connect Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission […]

Newsletter – October 2016

November 2, 2016 in /by

Content SFC bans William Wong Yick Lok for three years SFC bans Chen Chia Hui for life SFC seeks compensation and disqualification orders against former and current directors of Freeman FinTech Corporation Limited SFC suspends Lo Tsz On for one year SFC reprimands and fines FXCM Asia Limited HK$4 million SFC reprimands and fines two […]

Newsletter – September 2016

November 2, 2016 in /by

Content SFC notifies the industry of anti-money laundering concerns SFC reprimands and fines BNP Paribas Wealth Management HK$4 million SFC bans Chau Hang Yu and Steve Chow Chun Yin for life following their criminal convictions SFC commences MMT proceedings against former CEO of China AU and related parties for false trading SFC reprimands and fines […]