Regulatory News (Mar 2016)
- Appointments to SFC committees
- SFC suspends Ernest Ho Gar Fai for four months
- SFC bans Yuen Siu Lun for seven years
- SFC extends waiver of annual licensing fees
- SFC welcomes appointment of Executive Director of Enforcement
- SFC reprimands Unicorn Securities Company Limited and fines it and its former responsible officer $3.2 million
- SFC bans Ng Hongs for 10 months
- SFC commences MMT proceedings against Mayer Holdings Limited and its senior management over late disclosure of inside information
- SFC bans Raaj Shah for 12 months
- SFC publishes consultation conclusions on Principles of Responsible Ownership
- SFC and DoJ sign MoU to strengthen cooperation in handling criminal cases
- SFC stresses accurate, clear and balanced disclosure of inside information
- SFC concludes consultation on changes to ATS Guidelines
- SFC reprimands and fines Wan Xing $200,000
- SFC establishes Fintech Contact Point