Regulatory News – Page 13 – CompliancePlus Consulting Limited

Regulatory News (Mar 2014)

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

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 convictions
Court sets trial dates for China Metal Recycling (Holdings) Limited case
SFC obtains $420 million compensation for GOME over breaches of directors’ duties by former chairman and wife in share repurchase
SFC bans Lam Chin Man for 15 months
SFC bans Chak Tsz Hoi for life
SFC amends Codes on Takeovers and Mergers and Share Repurchases to align with new Companies Ordinance

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 Chan2014-03-04 12:13:152015-09-08 13:46:33Regulatory News (Mar 2014)

Regulatory News (Feb 2014)

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

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 Han for life
SFC bans Lo Hoi Luen for life
Former CITIC Pacific senior executive convicted of insider dealing

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 Chan2014-02-05 11:38:352015-09-08 13:46:26Regulatory News (Feb 2014)

Regulatory News (Jan 2014)

January 10, 2014/in Regulatory News /by Tony Chan

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 orders Magistrate to reconsider unauthorized advertisements case
SFC Regulatory Forum looks at creating more resilient financial markets
Court varies interim injunction against Qunxing Paper
Former licensee convicted of providing SFC false or misleading information
Court orders futures trader to compensate investors over $13 million
Restoration order against former banker Du Jun finalised
Court dismisses appeals against convictions for manipulating the market
SFC bans Poon Ming Pui for 10 months
One year into statutory regime on disclosure of inside information
SFC resolves compliance concerns with Cheong Lee 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 Chan2014-01-10 15:50:272015-09-08 13:46:17Regulatory News (Jan 2014)

Regulatory News (Dec 2013)

December 3, 2013/in Regulatory News /by Tony Chan

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 for life
SFC issues second-quarter report
SFC steps up oversight of corporate conduct
Court orders insider dealer Du Jun to pay $23.9 million to investors
Retail investor sentenced for false trading
SFC bans Kwan Hung Kei for life
SFC reprimands and fines broker for breaching telephone recording requirements
SFC, HKMA and The Royal Bank of Scotland N.V. reach agreement on Lehman Brothers-related equity-linked notes sold to professional investors
SFC publishes annual review of SEHK’s performance in regulating listing matters

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 Chan2013-12-03 12:33:412015-09-08 13:46:18Regulatory News (Dec 2013)

Regulatory News (Nov 2013)

November 11, 2013/in Regulatory News /by Tony Chan

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 breaches
Unlicensed futures contract adviser given suspended jail sentence
SFC welcomes appointment of Non-Executive Directors
PME Group director acquitted of making false or misleading announcements

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 Chan2013-11-11 15:16:162015-09-08 13:46:13Regulatory News (Nov 2013)

Regulatory News (Oct 2013)

October 10, 2013/in Regulatory News /by Tony Chan

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 the Financial Regulatory Commission of Mongolia
SFC bans Chan Ka Chun 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 Chan2013-10-10 17:26:492015-09-08 00:13:39Regulatory News (Oct 2013)

Regulatory News (Q3 2013)

August 13, 2013/in Regulatory News /by Tony Chan

SFC and SEHK publish revised Joint Policy Statement regarding listing of overseas companies
SFC reprimands and fines Law Kwan Ming
SFC commences disciplinary proceedings against chairman of Pearl Oriental Oil Limited and others for alleged breach of Takeovers Code
SFC suspends former responsible officer of China Securities Holdings Limited
SFC signs MoU with European authorities on supervision of alternative investment fund managers
SFC bans Koo Yiu Chee for eight months
Court orders re-trial on insider dealing case
Regulators release conclusions on further proposals for regulating OTC derivatives market
Market Misconduct Tribunal sets date for Tiger Asia hearing
Corporate investor convicted of illegal short selling
SFC reprimands and fines Sun On Tat Securities Company Limited and its responsible officer $1.8 million
Court orders winding up of Salisbury Securities Limited
SFC outlines regulation of collective investment schemes
Market manipulator sentenced to community service
Court convicts unlicensed adviser on futures contracts
SFC reprimands and fines China Securities Holdings Limited $1.3 million and banned its responsible officer for 27 months
SFC suspends Ching Yim Har for three years
SFC issues guidelines on CPSS-IOSCO Principles for financial market infrastructures
Investor convicted of market manipulation
PME Group convicted of making false or misleading announcements
Court continues appointment of provisional liquidators for China Metal Recycling (Holdings) Limited
Premature selling of placing shares may constitute illegal short selling
SFC seeks disqualification orders against former senior executives of China Best Group Holding Limited
SFC seeks to wind up China Metal Recycling (Holdings) Limited
SFC reprimands and fines A One Investment Company Limited $1.2 million and suspends its responsible officer for internal control failures
Retail investor convicted of illegal short selling
Fund management business records strong growth in 2012
SFC, HKMA and The Royal Bank of Scotland N.V. reach agreement on Lehman Brothers-related equity-linked notes
SFC commences Market Misconduct Tribunal proceedings against Tiger Asia
SFC reprimands Hampton Securities (Asia) Limited and revokes licence of Daniel Lam Ka Kuen for window dressing activities
SFC bans Mok Kin Hung 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 Chan2013-08-13 15:33:422015-09-08 00:13:37Regulatory News (Q3 2013)

Regulatory News (Q2 2013)

July 3, 2013/in Regulatory News /by Tony Chan

Court appoints provisional liquidators for Salisbury Securities Limited
SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $1.6 million for regulatory breaches
SFAT allows review for ex-Deutsche trader over trading of HSBC shares
SFC reprimands and fines UBS Securities Hong Kong Limited HK$1.6 million for regulatory breaches
Court dismisses SFC’s appeal against fund manager’s acquittal
Court of Final Appeal gives reasons for dismissal of Tiger Asia appeal
SFC seeks court orders against founder and former chairman of First Natural Foods
SFC reprimands and fines Sun Hung Kai Investment Services Limited
Retail investor convicted of false trading

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 Chan2013-07-03 12:42:332015-09-08 00:13:28Regulatory News (Q2 2013)

Page 13 of 13«‹11 1213

Regulatory News (Mar 2014)

Regulatory News (Feb 2014)

Regulatory News (Jan 2014)

Regulatory News (Dec 2013)

Regulatory News (Nov 2013)

Regulatory News (Oct 2013)

Regulatory News (Q3 2013)

Regulatory News (Q2 2013)

Latest Press Release

Latest Media Coverage

Latest Regulatory News

Search