Regulatory News (May 2019)
- SFC reprimands and fines China Merchants Securities (HK) Co., Limited $5 million for mishandling client money
- SFC bans Wong Ka Hang for nine months
- SFC reprimands and fines China Merchants Securities (HK) Co., Limited $27 million for sponsor failures
- Court of Appeal dismisses leave application of Andrew Left
- Futures trader Tsoi Wan convicted of market manipulation
- SFC bans Wang Can for 30 months
- SFC suspends Gransing Securities’s chairperson Oei Hong Eng for eight months
- SFC-ICAC operation leads to charging of ex-Convoy director Cho Kwai Chee
- SFC and AFM sign MoU on Netherlands-Hong Kong Mutual Recognition of Funds