Regulatory News (July 2015)
- SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach
- SFC commences MMT proceedings against AcrossAsia Limited, its Chairman and CEO for late disclosure of inside information
- EY’s appeal over audit working papers discontinued
- Fund management business reached record high in 2014
- SFC proposes changes to financial resources rules
- New event synopsis: Mainland-Hong Kong Mutual Recognition of Funds Symposium
- SFC bans Laura Kiang Mang Yi for three years
- SFC suspends Tai Nga Chun for operating secret account
- SFC hosts Mainland-Hong Kong Mutual Recognition of Funds Symposium
- SFAT affirms SFC decision to reprimand and fine The Pride Fund Management Limited for failing to enter into mediation managed by the Financial Dispute Resolution Centre
- Takeovers Panel sanctions Chow Yei Ching, Oscar Chow Vee Tsung and Joseph Leung Wing Kong for breach of Takeovers Code