Regulatory News (Jan 2014)
- 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
Regulatory News (Dec 2013)
- 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