This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 731 entries.
Content SFC reprimands and fines JS Cresvale Securities HK$2.5 million SFC welcomes U.S. CFTC exemption for Hong Kong brokers to deal directly with U.S. customers Court grants order compelling attendance of SFC investigation interview SFC survey: Hong Kong hedge fund assets hit record high SFC obtains disqualification order against former executive director of Tack Fiori […]
SFC emphasises proper disclosure of inside information Takeovers Panel publishes reasons for breach of Takeovers Code by Chow Yei Ching, Joseph Leung Wing Kong and Oscar Chow Vee Tsung SFC reprimands and fines Merrill Lynch Far East Limited $2 million for regulatory breaches
Contents: SFC bans Katherina Lo Ka Shun for two years for improper trading arrangement SFC obtains court order to wind up China Metal Recycling (Holdings) Limited SFC seeks comments on Principles of Responsible Ownership SFC seeks disqualification and compensation orders against former chairman and directors of Inno-Tech Holdings Limited SFC bans Wong Chun Yin for […]
Court sets trial date for indictable prosecution for unlicensed dealing Appointments to SFC committees SFC obtains disqualification order against former executive director of Tack Fiori International Group Limited SFC survey: Hong Kong hedge fund assets hit record high Process Review Panel Report 2013-2014 Court grants order compelling attendance of SFC investigation interview SFC welcomes U.S. […]
Contents: SFC bans former CEO of Ping An of China Securities (Hong Kong) Company Limited for 12 months over internal control failures Amendments to Code on Unit Trusts and Mutual Funds take effect Market Misconduct Tribunal disqualifies Water Oasis’s former CEO and orders disgorgement for insider dealing Court dismisses judicial review application by CITIC’s former […]
SFC obtains court order to wind up China Metal Recycling (Holdings) Limited SFC bans Katherina Lo Ka Shun for two years for improper trading arrangement SFC bans former CEO of Ping An of China Securities (Hong Kong) Company Limited for 12 months over internal control failures SFC issues third-quarter report Court dismisses judicial review application […]
Contents: SFC commences proceedings in Market Misconduct Tribunal over alleged false research report SFC issues Restriction Notice on Goodcape Securities Limited Court grants orders to restrain suspected boiler rooms SFC bans Jagjit Singh Dhillon from re-entering the industry for life over improper activities Unlicensed dealing prosecution transferred to District Court SFC obtains court orders against […]
Amendments to Code on Unit Trusts and Mutual Funds take effect SFC unveils report on asset management SFC obtains court orders against current and former directors of First China to compensate the company RMB18.69 million SFC signs MoU with ESMA on cooperation arrangements for Hong Kong-established central counterparties Unlicensed dealing prosecution transferred to District Court […]
Contents: SFC publicly criticised Wen Yibo for breach of Takeovers Code SFC suspended former responsible officer of ICBCI Securities for eight months for failures related to IPO shares subscription SFC banned Lee Wai Keung for 12 months for breach of conflict of interest rules SFC adopted proposals to allow greater flexibility for authorised funds in […]
Press Release – CompliancePlus to present in the 13th Annual dbAccess China Conference 2015 in Beijing (5 January 2015) Download presentation file