Regulatory News (Mar 2017)
- Appointments to SFC committees
- Market Misconduct Tribunal finds no insider dealing in China Gas shares
- SFC reprimands and fines Merrill Lynch Far East Limited & Merrill Lynch (Asia Pacific) Limited $15 million over internal control failures
- SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme
- SFC concludes consultation on position limit regime
- SFC bans Philip Leung Ming Yin for six months
- SFC reprimands and fines DBS Vickers (Hong Kong) Limited $2 million for regulatory breaches and internal control failures
- Market Misconduct Tribunal sanctions Augustine Cheong and his mother for insider dealing in Titan shares
- SFC reprimands and fines BOCOM International (Asia) Limited $15 million for sponsor failures
- New synopsis: Presentation at Companies Registry Corporate Governance Roundtable
- SFC bans former responsible officer of Guangdong Securities Limited for nine months over internal control failures
- Implementation of expanded Short Position Reporting
- SFC reprimands and fines Guangdong Securities Limited $3 million for breach of anti-money laundering guidelines
- SFC proposes to standardise rules for prescribing professional investors