Regulatory News (Feb 2017)
- MMT sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information
- Former investment firm CEO convicted of unlicensed dealing
- SFC obtains disqualification and $84 million compensation orders against former chairman of First Natural Foods Holdings Limited
- SFC issues third-quarter report
- SFC withdraws Restriction Notice issued to a broker in connection with client’s suspected insider dealing
- SFC seeks court orders against former chairman of Kong Sun Holdings Limited and China Sandi Holdings Limited
- SFC bans Li Lee for life
- SFC reprimands and fines GMO-Z.com Forex HK Limited $1.6 million
- Market Misconduct Tribunal finds Mayer Holdings Limited and its senior management culpable of late disclosure of inside information
- SFC obtains court orders to freeze assets in insider dealing investigation