This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 734 entries.
SFC revokes licences of Richmond Asset Management Limited and its responsible officer Graham Frank Bibby and bans him for 10 years Process Review Panel Report 2015-2016 Court convicts Gold Root Global Investments Limited of unlicensed dealing SFC hosts IOSCO Board meeting in Hong Kong Market Misconduct Tribunal bans Andrew Left of Citron Research from trading […]
半新股貨源歸邊歷來最勁 聯旺累升64倍 冠絕全球新股 (2016-10-13)
證監設專責小組查造市 (2016-10-07)
Content SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited HK$18.5 million over internal control failures Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct Market Misconduct Tribunal finds no insider dealing in Warderly shares SFC bans Wong Lap Yin for three years SFC Fines Quam Capital Limited HK$800,000 over […]
SFC reminder on expanded Short Position Reporting New appointment to SFC committees SFC notifies the industry of anti-money laundering concerns SFC issues Restriction Notice to a broker to stop two clients from withdrawing shares and transferring money connected with suspected insider dealing SFC proposes to enhance position limit regime SFC reprimands and fines HSBC $2.5 […]
上市須交代控制人「真身」(2016-09-03)
Article 1: 提名欠透明 三分一人出席率不過半 合規顧問籲改革上市委員會 (2016-08-31) Article 2: 新架構或側重單一方面 (2016-08-31)
CompliancePlus submitted response to the joint consultation on listing regulation issued by SFC and HKEX (24 August 2016)
SFC designates central counterparties for OTC derivative transactions SFC reprimands and fines BNP Paribas Wealth Management $4 million Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited $18.5 million over internal control failures SFC suspends Ku Yuen Leung for 18 months […]
Content SFC bans Chan Hau Wing for two years SFC Research paper – Half-yearly Review of the Global and Local Securities Markets Hong Kong’s fund management business holds steady in 2015 SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing 1. SFC bans Chan Hau Wing for two years […]