This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
SFC publicly censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and their representatives for breaching the Code on Share Buy-backs SFC reprimands and fines FIL Investment Management (Hong Kong) Limited HK$3.5 million for regulatory breaches SFC reprimands and fines Adamas Asset Management (HK) Limited $2.5 million Launch of investor identification for […]
New speech by Tim Lui – Asset management in an evolving landscape New SFC guidance addresses market misconduct SFC bans Ma Sin Chi for life SFC reprimands and fines UBS HK$400 million for overcharging clients and related internal control failures SFC obtains court orders against former Chairman and directors of Minth Group Limited Former staff […]
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 […]
Press Release – CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2019 in HKU (17 Sep 2019)
SFC releases FAQs on its Guidelines for Securities Margin Financing Activities SFC issues restriction notice to a broker to freeze client accounts related to a corporate officer’s suspected breach of duties SFC proposes to regulate trustees and custodians of public funds SFC bans Ye Feng for life SFC obtains disqualification order against former executive director […]
CompliancePlus recognised as APAC CIO Outlook Top 10 RegTech Consulting/ Services Companies – 2019
Court extends interim injunctions freezing assets of suspected manipulators of GEM stock SFC and the ICAC sign MoU to strengthen cooperation in combating financial crime SFC bans Samuel Lee Kwok Tung for eight months SFC welcomes appointment of Executive Director SFC reprimands and fines Sincere Securities Limited $5 million for internal control failings SFC issues […]
SFC issues statement on backdoor listings and shell activities Hong Kong’s asset and wealth management business reached $23,955 billion in 2018 Takeovers Panel rules against waiver of general offer obligation in proposed Maanshan Iron acquisition SFC-ICAC operation leads to charging of ex-Convoy Global Executive Directors and broker’s general manager SFC welcomes re-appointment of Non-Executive Director […]
Press Release – CompliancePlus celebrates 10-year Anniversary (17 Jun 2019)
Content SFC-ICAC operation leads to charging of ex-Convoy director Cho Kwai Chee SFC suspends Gransing Securities’s chairperson Oei Hong Eng for eight months SFC bans Wang Can for 30 months Futures trader Tsoi Wan convicted of market manipulation Court of Appeal dismisses leave application of Andrew Left SFC reprimands and fines China Merchants Securities (HK) […]