Entries by Tony Chan

Regulatory News (Mar 2014)

March 4, 2014 in /by

Court appoints interim receivers and managers for Qunxing Paper Appointments to SFC committees SFC suspends Pat Siu Mei Yee SFC waives annual licensing fee for over 39,000 licensees SFC seeks disqualification orders against former chairman and executive directors of Tack Fiori Group International Limited Court dismisses appeal by former VST Holdings chairman against price rigging […]

Regulatory News (Feb 2014)

February 5, 2014 in /by

SFC proposes to strengthen regulation of alternative liquidity pools SFC bans Choi Yuet Yan for life SFC bans Jonathan Yan Cheuk Fung for life SFC bans Lum Yin Ling for life SFC bans To Ka Kit for three years Retail investor convicted of misleading the SFC in market manipulation investigation SFC bans Stephen Yenn Man […]

Regulatory News (Jan 2014)

January 10, 2014 in /by

SFC commences Market Misconduct Tribunal proceedings against former Asia TeleMedia Limited chairman and others SFAT affirms SFC decision to fine Sun Hung Kai International Limited $12 million and suspend its licence for IPO sponsor failures SFC consults the public on amendments to Code on Real Estate Investment Trusts Court of First Instance overturns acquittals and […]

Regulatory News (Dec 2013)

December 3, 2013 in /by

Court continues interim injunction to freeze assets of Qunxing Tiger Asia admits insider dealing and ordered to pay investors $45 million SFC reprimands and fines HSBC Securities Brokers (Asia) Limited $5 million for providing inaccurate information in licence application SFC unveils report on trends in risk and risk mitigation SFC bans Ivy Kiu Koon Yee […]

Regulatory News (Nov 2013)

November 11, 2013 in /by

Retail investor convicted of false trading SFC sanctions Daqing Dairy and its directors SFC suspends Stephen Cho Yu Kwan, reprimands and fines Ju You Li SFC commences disciplinary proceedings against Chow Yei Ching and others for alleged breach of Takeovers Code SFC surveys participants in Hong Kong OTC derivatives market SFC bans Sui Yu for […]

Regulatory News (Oct 2013)

October 10, 2013 in /by

SFC suspends Chen Chi Hing Former licensee convicted of illegal short selling Court dismisses application to strike out SFC insider dealing and fraud case Process Review Panel Report 2012-2013 Unlicensed futures contract adviser in jail custody after conviction Court gives directions in the winding-up proceedings of China Metal Recycling (Holdings) Limited SFC signs MoU with […]