Regulatory News (Feb 2016)
- SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million
- Arrest warrant issued for alleged insider dealer
- Executive Director, Intermediaries Division
- SFC concludes on expanding scope of short position reporting
- SFC bans Jia Zhen for 10 months
- Second SFC Regulatory Forum focuses on market connectivity
- SFC bans Alice Yim Ping for three years
- SFC issues third-quarter report
- SFC bans Chow Chi Keung for life
- Regulators release conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market
- SFC publicly censures Goldman Sachs for breaches of the Takeovers Code