Regulatory News (Jun 2017)
- QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information
- Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities
- SFC consults on new OFC Rules and OFC Code
- SFC welcomes new CEPA agreements
- Regulators release conclusions on the OTC derivatives regulatory regime
- Market Misconduct Tribunal sanctions Greencool’s former chairman and senior executives for disclosure of false or misleading information
- SFC clarifies competence requirements for licensees seeking to enter asset management business
- SFC bans Fok Chi Kin for eight months
- SFC on inclusion of A shares in MSCI Emerging Markets Index
- SFC suspends former responsible officer of iSTAR International Futures Co. Limited for six months
- SFC publishes Annual Report 2016-17
- SFC and ASIC sign Fintech cooperation agreement
- SFC bans Li Bo for eight months
- SFC issues restriction notice on IDS Forex HK Limited
- Former responsible officer convicted and fined for illegal short selling
- SFC commences insider dealing prosecutions over proposed privatisation of Integrated Distribution Services Group
- Court of Appeal upholds SFAT’s ruling on SFC’s disciplinary action against Moody’s over Red Flags Report
CompliancePlus Charity MIC Seminar
- 深水埗明哥講compliance? (2017-06-05)
Regulatory News (May 2017)
- SFC emphasises liabilities of listed companies’ senior management
- New speech by Bénédicte Nolens: Update on SFC Fintech initiatives
- SFC suspends Hui Lam Chiu for six months
- SFC bans Bernie Wong Ching Man for four months
- SFC enhances the position limit regime
- Appointments and re-appointments to SFC Advisory Committee
- SFC bans Tsap Wai Ping for two years
- SFC issues guidance on corporate transactions and the use of valuations
- SFC and FCA sign Fintech cooperation agreement
- Takeovers Panel’s TVB ruling on whitewash waiver and disclosure of shareholding structure
- SFC reprimands and fines Promising Securities Company Limited $3.5 million
- Takeovers Panel rules on whitewash waiver in relation to TVB
- SFC consults on proposals to reduce hacking risks in internet trading
- SFC consults on new guidelines on online distribution and advisory platforms
- Arrangements for electronic filing of disclosure of interests notifications
- New speech by Julia Leung: Supervision in a time of change