Regulatory News – Page 12 – CompliancePlus Consulting Limited

Regulatory News (Jan 2015)

January 8, 2015/in Regulatory News /by Tony Chan

Amendments to Code on Unit Trusts and Mutual Funds take effect
SFC unveils report on asset management
SFC obtains court orders against current and former directors of First China to compensate the company RMB18.69 million
SFC signs MoU with ESMA on cooperation arrangements for Hong Kong-established central counterparties
Unlicensed dealing prosecution transferred to District Court
SFC bans Jagjit Singh Dhillon for life
Securities and Futures Appeals Tribunal sets date for Moody’s hearing
Court grants orders to restrain suspected boiler rooms
SFC issues Restriction Notice on Goodcape Securities Limited

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 Chan2015-01-08 11:46:302015-09-08 13:21:55Regulatory News (Jan 2015)

Regulatory News (Dec 2014)

December 11, 2014/in Regulatory News /by Tony Chan

SFC welcomes re-appointment of Non-Executive Director
SFC commences proceedings in Market Misconduct Tribunal over alleged false research report
Court freezes bank accounts of suspected boiler rooms
SFC launches consultation on supervisory assistance to overseas regulators
Second SFC mystery shopping programme identifies deficiencies in selling practices
Market Misconduct Tribunal sets date for CITIC hearing
SFC issues second-quarter report
New SFC survey of licensed corporations selling investment products
SFC adopts proposals to allow greater flexibility for authorized funds in dissemination of prices and net asset values
SFC bans Lee Wai Keung for 12 months
SFC suspends former responsible officer of ICBCI Securities for eight months for failures related to IPO shares subscription
SFC publicly criticises Wen Yibo for breach of 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 Chan2014-12-11 13:11:032015-09-08 13:33:26Regulatory News (Dec 2014)

Regulatory News (Nov 2014)

November 4, 2014/in Regulatory News /by Tony Chan

Joint HKMA-SFC consultation conclusions on reporting and record keeping rules for OTC derivatives
Freezing injunction against Greencool’s ex-chairman extended pending SFC proceedings
Regulators approve launch of Shanghai-Hong Kong Stock Connect
Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission
Court dismisses judicial review against Takeovers Panel
Market Misconduct Tribunal sets date for Water Oasis’s former CEO hearing
SFC reprimands and fines Yue Siying
SFC bans Leung Wai Hung for 18 months

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 Chan2014-11-04 13:44:062015-09-08 13:33:21Regulatory News (Nov 2014)

Regulatory News (Oct 2014)

October 9, 2014/in Regulatory News /by Tony Chan

Market Misconduct Tribunal sets date for hearing on Greencool’s ex-chairman and former senior executives
SFC bans Yan Chee Yung for life
SFC suspends Ho Siu Po for seven months
SFC signs MoU with CSRC to strengthen enforcement cooperation under Shanghai-Hong Kong Stock Connect
Takeovers Panel rules no mandatory general offer obligation triggered for China Oriental
SFC welcomes re-appointment of Non-Executive Director
SFC bans Roger Albert John and Hamish Gordon Cruden for life
SFC obtains disqualification order against former executive director of Tack Fiori International Group Limited
Market Misconduct Tribunal bans Tiger Asia and Bill Hwang from trading securities in Hong Kong
Market participants urged to comply with short position reporting
SFC revokes licence of John David Lawrence and fines him $900,000
SFC seeks court orders against former chairman and directors of Sinogreen

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 Chan2014-10-09 18:11:292015-09-08 13:33:12Regulatory News (Oct 2014)

Regulatory News (Sep 2014)

September 15, 2014/in Regulatory News /by Tony Chan

The Court of Final Appeal grants leave to Pacific Sun Advisors Limited and its director to appeal
Court convicts two unlicensed dealers
Court convicts unlicensed investment portfolio manager
SFC welcomes re-appointment of its Chief Executive Officer
SFC publishes consultation conclusions on amendments to professional investor regime and further consults on client agreement requirements
SFC publishes annual review of SEHK’s performance in regulating listing matters
SFC suspends Eric Shum Kam Chi for three years for sponsor failures
New appointments to committees
SFC commences proceedings against CITIC, its former chairman and executive directors

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 Chan2014-09-15 14:10:342015-09-08 13:33:06Regulatory News (Sep 2014)

Regulatory News (Aug 2014)

August 5, 2014/in Regulatory News /by Tony Chan

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 commences Market Misconduct Tribunal proceedings against former CEO of Water Oasis Group Limited
SFC reprimands and fines Winnie Pang Wai Yan
Court extends freezing injunction against Greencool’s former chairman
SFC suspends Chan Hung Nin for 15 months
Market manipulator fined and sentenced to community service
SFC bans former broker Chan Yuk Hing for three years
SFC bans Manesh Vijaykumar Samtani 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 Chan2014-08-05 16:54:402015-09-08 13:38:10Regulatory News (Aug 2014)

Regulatory News (Jul 2014)

July 3, 2014/in Regulatory News /by Tony Chan

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 licensee convicted of manipulating derivative warrants and callable bull/bear contracts
Court freezes $1.2 billion Hisense Kelon shares in Greencool proceedings
Joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market
SFC reprimands and fines Ping An of China Securities (Hong Kong) Company Limited $6 million over internal control failures
SFC launches corporate regulation newsletter
Fund management business continues to grow in 2013
SFC bans Fa Kwan Lun for 12 months
SFC revokes licence of Yip Wan Fung and bans her for life
SFC suspends Wu Li Jun for six months

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 Chan2014-07-03 13:31:342015-09-08 13:37:57Regulatory News (Jul 2014)

Regulatory News (Jun 2014)

June 5, 2014/in Regulatory News /by Tony Chan

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
SFC proposes to amend exemptions for disclosure obligations
SFC bans Li Tak Wa for 15 months
Hong Kong and Malaysia host joint seminar on Islamic funds
Court maintains sentence of market manipulator
Pacific Sun Advisors Limited and its director convicted of issuing advertisements without SFC authorization
SFAT affirms SFC decision to suspend Jenny Chan Pik Ha
SFC bans Christopher Ma Chun Leung for 10 years and Wong Man Chung for two years
Broker acquitted of illegal short selling
SFC reprimands and fines Delta Asia Securities Limited

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 Chan2014-06-05 11:41:492015-09-08 13:37:42Regulatory News (Jun 2014)

Regulatory News (May 2014)

May 7, 2014/in Regulatory News /by Tony Chan

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 and ICBC International Securities Limited $12.5 million each for failures related to IPO shares subscription
C.L. Management Services Limited and its director fined $1.5 million for unlicensed activities
Futures manipulator sentenced to community service
SFC resolves concerns over Citigroup’s algorithmic trading system
SFC obtains court orders for GOME to receive $420 million compensation from founder and wife over breaches in share repurchase
Notice on Potential Regulations Applicable to, and Risks of, Crowd-funding Activities
SFC outlines risks of crowd-funding and potential regulatory issues
SFC bans Helen Chow Hoi Ching and Choy Cheuk Tung for life
SFC reprimands and fines Kaiser $1.7 million

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 Chan2014-05-07 11:38:492015-09-08 13:46:39Regulatory News (May 2014)

Regulatory News (Apr 2014)

April 1, 2014/in Regulatory News /by Tony Chan

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 and Securities and Futures Commission
SFC welcomes Shanghai-Hong Kong Stock Connect pilot programme
SFC seeks court orders to compel disclosure by Qunxing Paper’s chairman and vice-chairman
SFC bans Mak Shu Pan for three years
SFC suspends Chan Chi Ki for six months

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 Chan2014-04-01 13:01:162015-09-08 13:46:40Regulatory News (Apr 2014)

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