Entries by Tony Chan

Regulatory News (Dec 2014)

December 11, 2014 in /by

SFC welcomes re-appointment of Non-Executive Director SFC commences proceedings in Market Misconduct Tribunal over alleged false research report Court freezes bank accounts of suspected boiler rooms SFC launches consultation on supervisory assistance to overseas regulators Second SFC mystery shopping programme identifies deficiencies in selling practices Market Misconduct Tribunal sets date for CITIC hearing SFC issues […]

Newsletter – November 2014

December 1, 2014 in /by

Newsletter – November 2014 Contents: SFC bans Yan Chee Yung for life for defrauding client and misappropriating client money SFC bans Leung Wai Hung for 18 months for circumventing the order recording requirements SFC reprimands and fines Yue Siying for negligence Court dismisses judicial review against Takeovers Panel Joint Announcement of China Securities Regulatory Commission […]

Regulatory News (Nov 2014)

November 4, 2014 in /by

Joint HKMA-SFC consultation conclusions on reporting and record keeping rules for OTC derivatives Freezing injunction against Greencool’s ex-chairman extended pending SFC proceedings Regulators approve launch of Shanghai-Hong Kong Stock Connect Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission Court dismisses judicial review against Takeovers Panel Market Misconduct Tribunal sets date for […]

Newsletter – October 2014

November 3, 2014 in /by

Newsletter – October 2014 Contents: SFC seeks court orders against former chairman and directors of Sinogreen SFC revokes license of John David Lawrence and fines him HK$900,000 Market participants urged to comply with short position reporting Market Misconduct Tribunal bans Tiger Asia and Bill Hwang from trading securities in Hong Kong SFC obtains disqualification order […]

Regulatory News (Oct 2014)

October 9, 2014 in /by

Market Misconduct Tribunal sets date for hearing on Greencool’s ex-chairman and former senior executives SFC bans Yan Chee Yung for life SFC suspends Ho Siu Po for seven months SFC signs MoU with CSRC to strengthen enforcement cooperation under Shanghai-Hong Kong Stock Connect Takeovers Panel rules no mandatory general offer obligation triggered for China Oriental […]

Newsletter – September 2014

September 30, 2014 in /by

Newsletter – September 2014 SFC commences proceedings against CITIC, its former chairman and executive directors SFC suspends Eric Shum Kam Chi for three years for sponsor failures SFC publishes annual review of the Stock Exchange of Hong Kong’s performance in regulating listing matters SFC publishes consultation conclusions on amendments to professional investor regime and further […]

Regulatory News (Sep 2014)

September 15, 2014 in /by

The Court of Final Appeal grants leave to Pacific Sun Advisors Limited and its director to appeal Court convicts two unlicensed dealers Court convicts unlicensed investment portfolio manager SFC welcomes re-appointment of its Chief Executive Officer SFC publishes consultation conclusions on amendments to professional investor regime and further consults on client agreement requirements SFC publishes […]

Newsletter – August 2014

September 2, 2014 in /by

Newsletter – August 2014 SFC bans Manesh Vijaykumar Samtani for life SFC bans former broker Chan Yuk Hing for three years for false trading Market manipulator fined and sentenced to community service SFC suspends Chan Hung Nin for 15 months for unauthorised trading in client’s account SFC reprimands and fines Winnie Pang Wai Yan for […]