Regulatory News (May 2020)
- SFC bans Kwok Chau Mo for nine months
- SFC seeks court order to wind up Combest Holdings Limited
- SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation
- SFC welcomes re-appointment of Chief Executive Officer
- SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements
- SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd
- SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale
- SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited