Regulatory News – Page 5 – CompliancePlus Consulting Limited

Regulatory News (Nov 2020)

November 25, 2020/in Regulatory News /by Tony Chan

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives
SFC concludes consultation on changes to the REIT Code
SFC bans Pang Hon Pan for 21 months
SFC bans Chan Shun King for 24 months
SFC supports Chief Executive’s initiatives
SFC and ISA sign Fintech cooperation agreement
SFC statement on US sanctions
Zeng Lingxi pleads not guilty to charges of obstructing the SFC’s search operation
SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $2.1 million over breaches of electronic trading requirements
New speech by Ashley Alder: Keynote address at Hong Kong FinTech Week 2020
SFC publicly censures Ngai Lai Ha and imposes a cold-shoulder order for breach 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 Chan2020-11-25 14:41:342021-01-05 11:00:11Regulatory News (Nov 2020)

Regulatory News (Oct 2020)

October 6, 2020/in Regulatory News /by Tony Chan

New speech by Ashley Alder: Opening remarks at SFC Compliance Forum 2020
SFC consults on climate-related risks in funds
SFC suspends Sandra Cheung Wing Yi for 12 months
SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings
Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code
SFC welcomes re-appointment of Non-Executive Directors
Redesigned SFC website

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 Chan2020-10-06 13:04:162020-11-25 14:25:07Regulatory News (Oct 2020)

Regulatory News (Sep 2020)

September 3, 2020/in Regulatory News /by Tony Chan

SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures
SFC reprimands and fines China Everbright Securities (HK) Limited $2.5 million
SFC signs new MoU with the Insurance Authority
SFC warns of investment scams on social media
SFC suspends Mung Wai Sun for nine months
SFC launches consultation on anti-money laundering guidelines
SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches
SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures
SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code
Retail investor convicted of false trading
SFC statement on Police investigation concerning Next Digital shares
Changes to the open-ended fund companies regime take effect
SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors
Former licensee convicted of providing false or misleading information to SFC
SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation
SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements

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 Chan2020-09-03 18:16:332020-10-06 13:00:55Regulatory News (Sep 2020)

Regulatory News (Aug 2020)

August 11, 2020/in Regulatory News /by Tony Chan

SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited
SFC bans Masy Lo Mee Chi for eight months
Hong Kong-Mainland ETF cross-listing approved
SFC bans TS’O Jing for life
Hong Kong’s asset and wealth management business reports strong growth in 2019
SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation
SFC issues quarterly report
SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited
SFC bans Chan Yiu Ting for 18 months
Statement on Next Digital Limited
SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation
SFC statement on sanctions imposed by the US government

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 Chan2020-08-11 15:27:412020-09-03 18:04:42Regulatory News (Aug 2020)

Regulatory News (Jul 2020)

August 4, 2020/in Regulatory News /by Tony Chan

Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities
Policy Statement by the Securities and Futures Commission
Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities
Court of Final Appeal dismisses leave application of Andrew Left
SFC bans Lai Wing Fat for 20 months
SFC welcomes appointment of Non-Executive Directors
SFC publishes review of SEHK’s performance in regulating listing matters
SFC commences false trading prosecution against retail investor

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 Chan2020-08-04 11:44:422020-08-04 11:53:01Regulatory News (Jul 2020)

Regulatory News (Jun 2020)

July 3, 2020/in Regulatory News /by Tony Chan

SFC office relocation
Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
SFC publishes Annual Report 2019-20
SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months
SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements
SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code
SFC publicly censures Fu Kwan for breach of the Takeovers Code
OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements
SFC CEO reappointed Chair of IOSCO Board
SFC proposes changes to the Code on Real Estate Investment Trusts
SFC reprimands and fines Potomac Capital Limited $800,000 for breaching Financial Resources Rules
Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities

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 Chan2020-07-03 15:57:432020-07-03 16:00:17Regulatory News (Jun 2020)

Regulatory News (May 2020)

May 28, 2020/in Regulatory News /by Tony Chan

SFC bans Kwok Chau Mo for nine months
SFC seeks court order to wind up Combest Holdings Limited
SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation
SFC welcomes re-appointment of Chief Executive Officer
SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements
SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd
SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale
SFC obtains court order against Shandong Molong Petroleum Machinery Company 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 Chan2020-05-28 12:26:452020-07-03 15:49:50Regulatory News (May 2020)

Regulatory News (Apr 2020)

April 22, 2020/in Regulatory News /by Tony Chan

Unlicensed fund manager sentenced to community service
SFC signs MoU with Competition Commission
SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited
SFC cautions on crude oil futures and ETFs
SFC regulatory response to COVID-19
SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures
SFC scrutinises leveraged foreign exchange trading
Joint consultation conclusions on the model for an uncertificated securities market
SFC reprimands and fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for regulatory breaches over funds’ cash management
SFC issues restriction notice to Agg. Asset Management Limited
Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation

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 Chan2020-04-22 12:23:262020-05-28 12:18:32Regulatory News (Apr 2020)

Regulatory News (Mar 2020)

March 18, 2020/in Regulatory News /by Tony Chan

Appointments to SFC committees
SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers
Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
SFC issues guidance to fund industry amidst COVID-19 outbreak
Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information
SFC bans Mo Shau Wah for life
SFC bans Chan Tan Lo for 14 months
New SFC-SEHK announcement

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 Chan2020-03-18 16:15:582020-04-22 12:09:05Regulatory News (Mar 2020)

Regulatory News (Feb 2020)

February 18, 2020/in Regulatory News /by Tony Chan

SFC welcomes Budget measures
SFC issues quarterly report
Court dismisses challenge to SFC’s investigative powers
SFC reprimands and fines Capital Global Management Limited $1.5 million
SFC reprimands and fines BMI Securities Limited $3.7 million and suspends its responsible officer for breaches of anti-money laundering regulatory requirements
New speech by Tim Lui at The Hong Kong Institute of Chartered Secretaries Annual Dinner 2020
Update on the SFC’s front-loaded regulatory approach
SFC bans Christopher Tse for 12 months
Arrangements relating to SFC’s public services
Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent

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 Chan2020-02-18 16:36:042020-03-18 16:10:12Regulatory News (Feb 2020)

Page 5 of 13«‹3 456 7 ›»