Regulatory News (Jan 2020)
- SFC suspends Shiu Yau Wah for five months
- SFC to commence proceedings for suspected market manipulation in the shares of China Ding Yi Feng and lifts trading suspension
- SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
- SFC highlights importance of risk management
- Process Review Panel Report 2018-19
- SFC lifts suspension of UBS Securities Hong Kong Limited acting as sponsor
- SFC provides licensing guidance for private equity firms and family offices
- Court convicts unlicensed fund manager
- SFC reprimands and fines RHB Securities Hong Kong Limited $6.4 million