Regulatory News (Oct 2019)
- SFC commences MMT proceedings against China Medical & Healthcare Group Limited and its senior management for alleged late disclosure of inside information
- SFC issues guidance on external electronic data storage
- SFC reprimands and fines China Rise Securities Asset Management Company Limited $6.3 million for regulatory breaches and internal control failures
- SFC commences insider dealing prosecution against a former staff of Hong Kong Television Network Limited
- New speech by Julia Leung: Supervising sponsors in a changing IPO landscape
- SFC concludes consultation on the enhanced Investor Compensation Regime
- SFC seeks compensation and disqualification orders against Perfect Optronics Limited’s chairman and board members
- SFC obtains disqualification orders against former chairman and executive directors of Inno-Tech Holdings Limited
- SFC reprimands and fines SEAVI Advent Ocean Private Equity Limited $1 million
- Takeovers Panel: Broadford Global Limited not permitted to deduct dividend from offer price
- SFC bans Vincent Ng Lok Kan for 30 months