Regulatory News (Dec 2014)
- SFC welcomes re-appointment of Non-Executive Director
- SFC commences proceedings in Market Misconduct Tribunal over alleged false research report
- Court freezes bank accounts of suspected boiler rooms
- SFC launches consultation on supervisory assistance to overseas regulators
- Second SFC mystery shopping programme identifies deficiencies in selling practices
- Market Misconduct Tribunal sets date for CITIC hearing
- SFC issues second-quarter report
- New SFC survey of licensed corporations selling investment products
- SFC adopts proposals to allow greater flexibility for authorized funds in dissemination of prices and net asset values
- SFC bans Lee Wai Keung for 12 months
- SFC suspends former responsible officer of ICBCI Securities for eight months for failures related to IPO shares subscription
- SFC publicly criticises Wen Yibo for breach of Takeovers Code