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Content SFC issues restriction notice to Hong Kong Wan Kiu Investment Company Limited Former staff of Hong Kong Television Network Limited convicted of insider dealing SFC bans Song Baojun for 12 months Former staff of Hong Kong Television Network Limited jailed for insider dealing SFC obtains court orders against former Chairman and directors of Minth […]
Content SFC bans Vincent Ng Lok Kan for 30 months SFC reprimands and fines SEAVI Advent Ocean Private Equity Limited HK$1 million SFC obtains disqualification orders against former chairman and executive directors of Inno-Tech Holdings Limited SFC seeks compensation and disqualification orders against Perfect Optronics Limited’s chairman and board members SFC commences insider dealing prosecution […]
中文内容 汇丰因违反电话录音规定遭证监会谴责及罚款港币210万元 证监会禁止张钊洪重投业界两年 证监会在市场失当行为审裁处就涉嫌对美维控股有限公司股份进行的内幕交易展开研讯程序 证监会取得针对莲和医疗健康集团有限公司前执行董事的取消资格令 证监会终身禁止叶锋重投业界 证监会向一家经纪行发出限制通知书冻结与涉嫌违反责任的某法团人员有关的多个客户帐户 1. 汇丰因违反电话录音规定遭证监会谴责及罚款港币210万元 于2019年9月10日，香港上海汇丰银行有限公司因没有遵守《操守准则》下的电话录音规定，遭证监会谴责及罚款港币210万元。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR82 有关纪律行动声明，请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/openAppendix?refNo=19PR82&appendix=0 （只备有繁体中文） <回到顶部> 2. 证监会禁止张钊洪重投业界两年 于2019年9月12日， 证监会禁止恒生银行有限公司前雇员张钊洪（男）重投业界，为期两年，由2019年9月12日至2021年9月11日为止。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR83 有关纪律行动声明，请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/openAppendix?refNo=19PR83&appendix=0 （只备有繁体中文版） <回到顶部> 3. 证监会在市场失当行为审裁处就涉嫌对美维控股有限公司股份进行的内幕交易展开研讯程序 于2019年9月16日，证监会在市场失当行为审裁处对美维控股有限公司前主席兼执行董事唐庆年先生及李奕璇女士展开研讯程序，指二人涉嫌于2009年就美维股份进行内幕交易。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR84 有关证监会向审裁处发出的通知，请浏览： https://www.mmt.gov.hk/chi/rulings/Meadville_190916_c.pdf（只备有繁体中文版） <回到顶部> 4. 证监会取得针对莲和医疗健康集团有限公司前执行董事的取消资格令 于2019年9月18日，证监会已在高等法院取得针对德发集团国际有限公司（德发，现称莲和医疗健康集团有限公司）前执行董事郭彩霞（女）的取消资格令。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR85 有关证监会于2014年10月9日发表的新闻稿，请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=14PR121 有关证监会于2015年3月30日发表的新闻稿，请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=15PR33 <回到顶部> 5. 证监会终身禁止叶锋重投业界 于2019年9月23日，交通银行股份有限公司前副总裁叶锋（男）被裁定贿赂罪成后，遭证监会终身禁止重投业界。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR86 <回到顶部> 6. 证监会向一家经纪行发出限制通知书冻结与涉嫌违反责任的某法团人员有关的多个客户帐户 于2019年9月27日，证监会向凯基证券亚洲有限公司发出限制通知书，禁止该经纪行处置或处理在多个客户帐户内持有的若干资产。该等帐户是由一名涉嫌违反对某上市法团的责任的人士实益拥有。 有关详情请浏览： https://sc.sfc.hk/gb/www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/enforcement-news/doc?refNo=19PR87 […]
Content SFC reprimands and fines HSBC HK$2.1 million for breaching telephone recording requirements SFC bans Jacky Cheung Chiu Hung for two years SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Meadville Holdings Limited shares SFC obtains disqualification order against former executive director of Life Healthcare Group Limited SFC bans Ye Feng for […]
Content SFC bans Tu Bing for life SFC reprimands and fines Sincere Securities Limited HK$5 million for internal control failings SFC bans Samuel Lee Kwok Tung for eight months Court extends interim injunctions freezing assets of suspected manipulators of GEM stock 1. SFC bans Tu Bing for life On 5 August 2019, the SFC […]
Content SFC bans Goldman Sachs (Asia) L.L.C. former responsible officer Tim Leissner for life SFC reprimands and fines Celestial Commodities Limited and Celestial Securities Limited HK$6.3 million for mishandling client money SFC bans Song Peng for 10 months SFC reprimands and fines Glory Sun Securities Limited HK$1.2 million and suspends its current and former responsible […]
Content SFC bans Wong Ka Hang for nine months SFC reprimands and fines China Merchants Securities (HK) Co., Limited HK$5 million for mishandling client money SFC seeks disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd. SFC reprimands and fines Credit Suisse (Hong Kong) Limited and Credit Suisse AG HK$2.8 million for […]
SFC publicly censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and their representatives for breaching the Code on Share Buy-backs SFC reprimands and fines FIL Investment Management (Hong Kong) Limited HK$3.5 million for regulatory breaches SFC reprimands and fines Adamas Asset Management (HK) Limited $2.5 million Launch of investor identification for […]
New speech by Tim Lui – Asset management in an evolving landscape New SFC guidance addresses market misconduct SFC bans Ma Sin Chi for life SFC reprimands and fines UBS HK$400 million for overcharging clients and related internal control failures SFC obtains court orders against former Chairman and directors of Minth Group Limited Former staff […]
SFC commences MMT proceedings against China Medical & Healthcare Group Limited and its senior management for alleged late disclosure of inside information SFC issues guidance on external electronic data storage SFC reprimands and fines China Rise Securities Asset Management Company Limited $6.3 million for regulatory breaches and internal control failures SFC commences insider dealing prosecution […]