Regulatory News (Q2 2013)
- 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