Archive for category: Regulatory News

• SFC proposes to expand short position reporting
• Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case
• SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories
• SFC proposes changes to the ATS Guidelines
• SFC bans Gong Yueyue for 15 years
• SFC moves to paperless individual licences
• Licence applicant convicted of providing false information to SFC
• SFC welcomes appointment of Non-Executive Directors
• SFC obtains court order to freeze $23.5 million assets of Maxim Capital Limited
• Launch of SFC Women’s Network
• Market Misconduct Tribunal dismisses application by Andrew Left of Citron Research
• SFC reprimands and fines Okasan International (Asia) Limited $4 million

• Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market
• Notice to compensation claimants
• SFC’s Interim Head of Enforcement

• SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach
• SFC commences MMT proceedings against AcrossAsia Limited, its Chairman and CEO for late disclosure of inside information
• EY’s appeal over audit working papers discontinued
• Fund management business reached record high in 2014
• SFC proposes changes to financial resources rules
• New event synopsis: Mainland-Hong Kong Mutual Recognition of Funds Symposium
• SFC bans Laura Kiang Mang Yi for three years
• SFC suspends Tai Nga Chun for operating secret account
• SFC hosts Mainland-Hong Kong Mutual Recognition of Funds Symposium
• SFAT affirms SFC decision to reprimand and fine The Pride Fund Management Limited for failing to enter into mediation managed by the Financial Dispute Resolution Centre
• Takeovers Panel sanctions Chow Yei Ching, Oscar Chow Vee Tsung and Joseph Leung Wing Kong for breach of Takeovers Code

• SFC statement on Hanergy Thin Film Power Group Limited
• Former licensee convicted of false trading
• SFAT affirms SFC decision to ban Sun Xiao for 13 months
• Appointments and re-appointments to SFC Advisory Committee
• SFC and CSRC sign agreement on Mainland-Hong Kong Mutual Recognition of Funds
• Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission
• SFC launches new register of cold shoulder orders
• SFC welcomes appointment of Non-Executive Director
• SFC enhances regime to regulate alternative liquidity pools
• Update on reporting and record keeping rules for OTC derivatives
• Intermediaries reminded full compliance with Know Your Client and account opening procedures
• Hong Kong Game Theory Association Limited and sole director convicted of unlicensed activities
• SFC bans Benjamin Zhu Zhiwei for 18 months
• SFC recovers $190 million for investors of collapsed hedge fund
• SFC bans Wong Wai Hong for six months
• SFC reprimands and fines Kingston $500,000
• SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Warderly shares

SFC welcomes appointment of Non-Executive Director

• Court sets trial date for indictable prosecution for unlicensed dealing
• Appointments to SFC committees
• SFC obtains disqualification order against former executive director of Tack Fiori International Group Limited
• SFC survey: Hong Kong hedge fund assets hit record high
• Process Review Panel Report 2013-2014
• Court grants order compelling attendance of SFC investigation interview
• SFC welcomes U.S. CFTC exemption for Hong Kong brokers to deal directly with U.S. customers
• SFC reprimands and fines JS Cresvale Securities HK$2.5 million
• Court of Final Appeal allows appeal of Pacific Sun Advisors Limited and its director
• Market Misconduct Tribunal sets date for hearing on alleged false research report
• Opening remarks at SFC’s media luncheon
• Takeovers Panel finds Chow Yei Ching, Joseph Leung Wing Kong and Oscar Chow Vee Tsung in breach of Takeovers Code
• SFC bans Luo Jianglan for six months
• SFC bans Wong Chun Yin for life
• SFC seeks disqualification and compensation orders against former chairman and directors of Inno-Tech Holdings Limited
• SFC seeks comments on Principles of Responsible Ownership