Regulatory News – Page 10 – CompliancePlus Consulting Limited

Regulatory News (Sep 2016)

September 13, 2016/in Regulatory News /by Tony Chan

SFC reminder on expanded Short Position Reporting
New appointment to SFC committees
SFC notifies the industry of anti-money laundering concerns
SFC issues Restriction Notice to a broker to stop two clients from withdrawing shares and transferring money connected with suspected insider dealing
SFC proposes to enhance position limit regime
SFC reprimands and fines HSBC $2.5 million for regulatory breaches
SFC commences MMT proceedings against former CEO of China AU and related parties for false trading
SFC and the Exchange extend deadline for response to the joint consultation on listing regulation
People fraudulently impersonating staff of Lippo Securities Limited
SFC bans Chau Hang Yu and Steve Chow Chun Yin for life

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-09-13 16:28:272016-10-13 13:00:06Regulatory News (Sep 2016)

Regulatory News (Aug 2016)

August 2, 2016/in Regulatory News /by Tony Chan

SFC designates central counterparties for OTC derivative transactions
SFC reprimands and fines BNP Paribas Wealth Management $4 million
Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct
SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited $18.5 million over internal control failures
SFC suspends Ku Yuen Leung for 18 months
Regulators announce Shenzhen-Hong Kong Stock Connect
Joint Announcement of the China Securities Regulatory Commission and the Securities and Futures Commission
SFC issues first-quarter report
SFC bans and fines Lam Chun Yin and Yeung Chok Cheong
Market Misconduct Tribunal finds no insider dealing in Warderly shares
SFC suspends Ko Cho Ting for two years
SFC fines Quam Capital Limited $800,000 over sponsor failures
SFC bans Wong Lap Yin for three years

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-08-02 18:30:562016-09-01 11:17:23Regulatory News (Aug 2016)

Regulatory News (Jul 2016)

July 29, 2016/in Regulatory News /by Tony Chan

SFC welcomes appointment of Executive Director of Investment Products
SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing
Hong Kong’s fund management business holds steady in 2015
SFC welcomes re-appointment of Non-Executive Directors
Regulators release further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market
SFC bans Chan Hau Wing for two years
New speech: Keynote remarks at HFSB Institutional Investor Roundtable

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-07-29 17:53:282016-07-29 17:53:28Regulatory News (Jul 2016)

Regulatory News (Jun 2016)

June 7, 2016/in Regulatory News /by Tony Chan

SFC publishes Annual Report 2015-16
Former director of NCA International Holdings Limited acquitted of unlicensed activities
SFC and HKEX issue joint consultation on listing regulation
SFC reprimands and fines State Street Global Advisors Asia Limited $4 million over management of Tracker Fund
SFC reprimands and fines Schroder Investment Management (Hong Kong) Limited $1.8 million for disclosure failures
New speech: Keynote speech at ASIFMA-GFMA Market Liquidity Conference 2016
SFC’s Acting Head of Investment Products
Court rules on appeals over unlicensed activities
SFC issues Restriction Notice to a broker to stop a client from withdrawing shares and transferring money connected with suspected insider dealing
New speech: Speech at HKSI luncheon

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-06-07 11:35:502016-06-23 15:45:51Regulatory News (Jun 2016)

Regulatory News (May 2016)

May 5, 2016/in Regulatory News /by Tony Chan

SFC obtains disqualification orders against former senior executives of China Best Group Holding Limited
SFC reprimands and fines SynerWealth Financial Limited $2.7 million
SFC publicly criticises China New Way Investment Limited and related parties for breach of Takeovers Code
SFC signs MoU with FINRA to enhance supervision and oversight of Cross-Border Regulated Entities
Administrators complete distribution of restoration payments to investors affected by Tiger Asia’s insider dealing
Takeovers Panel rules on breach of Takeovers Code by a subsidiary of Alibaba Group Holding Limited
SFC CEO appointed Chair of IOSCO Board
SFC hosts Fourth Asia Pacific Takeovers Regulators Conference
SFC bans Yeung Chun Him for 12 months
SFC reprimands and fines Solid King Securities Limited $700,000

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-05-05 16:42:192016-06-07 11:28:56Regulatory News (May 2016)

Regulatory News (Apr 2016)

April 12, 2016/in Regulatory News /by Tony Chan

Licence applicant convicted of providing false information to SFC
Defendants acquitted of unlicensed dealing
SFC formally adopts initiatives to enhance fund authorization process after pilot-run
SFC bans Andrew Chow Ho Cheung for life
New speech: Speech at HKIFA luncheon
SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for late disclosure of inside information
SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-04-12 13:45:432016-05-05 16:38:39Regulatory News (Apr 2016)

Regulatory News (Mar 2016)

March 2, 2016/in Regulatory News /by Tony Chan

Appointments to SFC committees
SFC suspends Ernest Ho Gar Fai for four months
SFC bans Yuen Siu Lun for seven years
SFC extends waiver of annual licensing fees
SFC welcomes appointment of Executive Director of Enforcement
SFC reprimands Unicorn Securities Company Limited and fines it and its former responsible officer $3.2 million
SFC bans Ng Hongs for 10 months
SFC commences MMT proceedings against Mayer Holdings Limited and its senior management over late disclosure of inside information
SFC bans Raaj Shah for 12 months
SFC publishes consultation conclusions on Principles of Responsible Ownership
SFC and DoJ sign MoU to strengthen cooperation in handling criminal cases
SFC stresses accurate, clear and balanced disclosure of inside information
SFC concludes consultation on changes to ATS Guidelines
SFC reprimands and fines Wan Xing $200,000
SFC establishes Fintech Contact Point

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-03-02 12:13:192016-04-12 13:43:37Regulatory News (Mar 2016)

Regulatory News (Feb 2016)

February 3, 2016/in Regulatory News /by Tony Chan

SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million
Arrest warrant issued for alleged insider dealer
Executive Director, Intermediaries Division
SFC concludes on expanding scope of short position reporting
SFC bans Jia Zhen for 10 months
Second SFC Regulatory Forum focuses on market connectivity
SFC bans Alice Yim Ping for three years
SFC issues third-quarter report
SFC bans Chow Chi Keung for life
Regulators release conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market
SFC publicly censures Goldman Sachs for breaches of the Takeovers Code

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-02-03 13:39:362016-03-02 12:03:32Regulatory News (Feb 2016)

Regulatory News (Jan 2016)

January 12, 2016/in Regulatory News /by Tony Chan

SFC bans Liu Hsiang-wen for eight months
Court finds two solicitors engaged in insider dealing and fraud or deception
Court freezes bank accounts of suspected boiler rooms
SFC bans Steven John Barrett for 10 months
Licence applicant convicted of providing false or misleading information to SFC
SFC reprimands and fines Lui Chi Hang $300,000

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-01-12 16:46:592016-01-26 12:34:03Regulatory News (Jan 2016)

Regulatory News (Dec 2015)

December 15, 2015/in Regulatory News /by Tony Chan

SFC suspends Fabiano Hugues Joseph Mascolo for three months
SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities
SFC bans Suen King Shan for four years
Takeovers Panel rules on general offer obligation for The Cross-Harbour (Holdings) Limited
SFC authorizes first batch of funds under Mainland-Hong Kong Mutual Recognition of Funds initiative
SFC reprimands and fines three JP Morgan entities a sum of $30 million for regulatory breaches
SFC obtains interim court orders against Maxim Trader
Court dismisses appeal by a substantial shareholder against convictions for failing to make disclosure of interests
SFC publishes consultation conclusions on client agreement requirements
SFC issues second-quarter report
New speech: Keynote address at ASIFMA Annual Conference 2015

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2015-12-15 17:44:252015-12-29 18:05:35Regulatory News (Dec 2015)

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