Entries by Tony Chan

Regulatory News (Aug 2014)

Revised Code on Real Estate Investment Trusts takes effect SFC concludes consultation on exemptions for disclosure obligations Roger Tsui Chi Fung banned for providing false information to SFC SFC issues supplemental consultation conclusions on regulation of IPO sponsors SFC issues first-quarter report SFC reprimands and fines Hung Lai Ping for managerial and supervisory failures SFC […]

Newsletter – July 2014

Newsletter – July 2014 Court froze HK$1.2 billion Hisense Kelon of shares in Greencool proceedings Joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market SFC launched corporate regulation newsletter Ping An of China Securities (Hong Kong) Company Limited reprimanded and fined HK$6 million over internal control failures SFC revoked […]

Regulatory News (Jul 2014)

SFC welcomes appointment of Non-Executive Directors SFC reprimands and fines Bright Smart Securities International (H.K.) Limited SFC revokes the licences of Union Securities Limited and its responsible officers Ma Kin Chung and Cheng Tai Ha, and bans both for life SFC publishes Consultation Conclusions on Amendments to the Code on Real Estate Investment Trusts Former […]

Newsletter – June 2014

As a leading compliance service provider for hedge funds, private equity firms, insurance groups and other financial institutions in Asia, CompliancePlus Consulting Limited held a cocktail reception  on 22nd May at the Hong Kong Club to celebrate its 5th Anniversary. Over 150 guests including fund managers, strategists, analysts, traders and CFOs from various financial institutions participated […]

Newsletter – May 2014

Compliance is a constantly changing environment. The resources you need to stay up to date are not always easily accessible and rarely in a single location.  www.complianceplus.hk is updated on an ongoing basis from the perspective of compliance veterans.   We provide compliance resources, checklists, research articles, news on current market trends and regulatory updates all […]

Regulatory News (Jun 2014)

SFC annual report: upholding standards SFC proposes greater flexibility for dissemination of prices and net asset values by authorized funds Ernst & Young produces audit working papers in Hong Kong and appeals order over Mainland papers SFC commences proceedings against Greencool’s former chairman and seeks to freeze $1.59 billion of his assets to compensate investors […]

Regulatory News (May 2014)

Director of securities firm convicted of providing SFC false or misleading information SFAT affirms SFC decision to suspend former responsible officer of China Securities Holdings Limited Court orders EY to produce accounting records to SFC SFC reprimands and fines Deutsche Bank Aktiengesellschaft $1.6 million for regulatory breaches SFC reprimands and fines ICBC International Capital Limited […]

Regulatory News (Apr 2014)

Futures trader convicted of false trading Market manipulator jailed for false trading SFC reprimands and fines The Royal Bank of Scotland PLC $6 million for internal control failings SFC seeks court orders against chairman, current and former directors of Minth Group Limited Court remands market manipulator in custody Joint Announcement of China Securities Regulatory Commission […]