Regulatory News (Oct 2013)
- 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
Regulatory News (Q3 2013)
- 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
Media coverage
- Media coverage (2014-01-02)
- Media coverage (2013-05-10)
- Media coverage (2013-02-27)
- Media coverage (2012-12-31)
- Media coverage (2012-11-12)
- Media coverage (2012-08-06)
- Media coverage (2012-06-27)
- Media coverage (2012–05-22)
- Media coverage (2012-02-17)
- Media coverage (2011-06-27)
- Media coverage (2011-03-21)
- Media coverage (2010-12-20)