Regulatory News (Dec 2017)
- CSRC and SFC sign MoU to enhance supervisory and enforcement cooperation in futures markets
- SFC bans Ng Chau for six months
- Court orders re-trial after allowing SFC’s appeal in illegal short selling case
- SFC publicly censures Zhang Qiang for breach of the Takeovers Code
- SFC launches consultation on OTC derivatives and conduct risks
- New SFC compliance bulletin highlights conflicts of interest
- SFC reprimands and fines Standard Chartered Securities (Hong Kong) Limited $2.6 million
- SFC proposes amendments to the Code on Unit Trusts and Mutual Funds
- SFC and CSRC hold working meeting on enforcement cooperation and joint training
- SFC reprimands and fines FXCM Asia Limited HK$2 million
- SFC bans Abbie Yip Ka Ying for 18 months
- SFC highlights benefits of cooperation
- SFC issues reminder on cryptocurrency-related products and derivatives
- Court dismisses challenge to SFC’s search warrant and provision of information to Mainland regulator
- Court sets pre-trial date for insider dealing case
- SFC issues quarterly report
- Joint Statement – Second EU-Asia Pacific Forum on Financial Regulation
- Process Review Panel Report 2016-2017