This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Regulators conclude consultation on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions SFC and ICAC search sponsor firms Market Misconduct Tribunal fines Health and Happiness and its chairman $3.2 million in total for late disclosure of inside information SFC issues restriction notices to 14 brokers to […]
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 […]
Content SFC commences insider dealing prosecution against legal adviser Former director of DBA Telecommunication (Asia) Holdings Limited convicted of issuing false or misleading announcement Market Misconduct Tribunal fines Fujikon, its CEO and CFO HK$1.5 million in total for late disclosure of inside information SFC reprimands and fines Nine Masts Capital Limited HK$1.2 million over naked […]
Content SFC seeks disqualification orders against former directors of Luxey International (Holdings) Limited SFC fines UBS HK$375 million and suspends its licence for one year for sponsor failures SFC reprimands and fines Standard Chartered Securities HK$59.7 million for sponsor failures SFC reprimands and fines Morgan Stanley Asia Limited HK$224 million for sponsor failures SFC reprimands […]
Content SFC revokes W. Falcon Asset Management (Asia) Limited’s licence Court dismisses judicial review application against SFC SFC issues restriction notices to three brokers to freeze client accounts related to suspected market misconduct SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited HK$15.2 million for breaches of anti-money laundering regulatory requirements Former GEM-listed group […]
Content SFC issues restriction notices to three brokers to prohibit order placing in listed derivative warrants in client accounts linked to suspected market misconduct SFC reprimands and fines FWD Life Insurance Company (Bermuda) Limited HK$2.4 million for regulatory breaches Market Misconduct Tribunal sanctions China AU’s former CEO and related persons for false trading Circular to […]
Content SFC reprimands and fines SFM HK Management Limited HK$1.5 million over naked short selling SFC suspends Chan Ho Wai and Lam Wai Kit for nine months SFC bans Kong Kar Bong for 10 years SFC commences proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and its former directors for late disclosure of […]
Content SFC issues restriction notices to three brokers to prohibit order placing in listed derivative warrants in client accounts linked to suspected market misconduct Revised Guideline on Anti-Money Laundering and Counter-Terrorist Financing has come into effect Revised Fund Manager Code of Conduct has come into effect Revised Code of Conduct on Disclosure of Benefits has […]
Consultation on further enhancements to the OTC derivatives regime Retrial of insider dealing case after Court of Final Appeal dismisses leave application to appeal Appointments and re-appointments to SFC Advisory Committee SFC welcomes re-appointment of Executive Director SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 10 months SFC reprimands and […]
Appointments to SFC committees New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019 SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products SFC reprimands […]