Entries by Tony Chan

Regulatory News (Mar 2018)

March 8, 2018 in /by

SFC concludes consultation on online platforms and further consults on offline requirements for complex products Appointments to SFC committees Regulators consult on further enhancements to the OTC derivatives regulatory regime SFC identifies continued deficiencies in sponsor work Court convicts Chan Chi Kit of unlicensed dealing SFC reprimands and fines UBS Securities Asia Limited $4.5 million […]

Newsletter – February 2018

March 8, 2018 in /by

Content Court of Final Appeal to hear Moody’s case Court orders Qunxing and former directors to compensate investors over disclosure of false or misleading information SFC reprimands and fines Credit Suisse (Hong Kong) Limited, Credit Suisse Securities (Hong Kong) Limited and Credit Suisse AG HK$39.3 million for regulatory breaches SFC reprimands and fines Interactive Brokers […]

Newsletter – January 2018

February 9, 2018 in /by

Content SFC publicly censures Zhang Qiang for breach of the Takeovers Code Court orders re-trial after allowing SFC’s appeal in illegal short selling case SFC bans Ng Chau for six months SFC reprimands and fines Wu Hon Cheung HK$50,000 SFC reprimands and fines EFG Bank AG HK$2 million Court finds no insider dealing in Integrated […]

Regulatory News (Feb 2018)

February 9, 2018 in /by

SFC obtains disqualification and compensation orders against former chairman and directors of Starlight SFC and FINMA sign Fintech cooperation agreement SFC enforcement priorities for 2018 Court orders Titan’s former senior executive and his mother to make payments to investors over insider dealing in Titan shares SFC issues quarterly report SFC reprimands and fines Interactive Brokers […]

Regulatory News (Jan 2018)

February 9, 2018 in /by

SFC provides guidance on best execution SFC highlights compliance failures in product selling practices SFC obtains court order to disqualify former chairman of Pearl Oriental Oil Limited for six years SFC bans Chan Wai Nun for six months SFC proposes amendments to takeovers rules Court finds no insider dealing in Integrated Distribution Services Group shares […]

Newsletter – December 2017

December 27, 2017 in /by

Content Court sets pre-trial date for insider dealing case Court dismisses challenge to SFC’s search warrant and provision of information to Mainland regulator SFC bans Abbie Yip Ka Ying for 18 months SFC reprimands and fines FXCM Asia Limited HK$2 million SFC reprimands and fines Standard Chartered Securities (Hong Kong) Limited HK$2.6 million   1. […]

Newsletter – November 2017

December 18, 2017 in /by

Content SFC bans Yeung Leung Yuen for three years Court of Appeal upholds SFC’s case of insider dealing and fraud against solicitors HSBC Private Bank (Suisse) SA fined HK$400 million for systemic failures in selling structured products SFC fines Danny Fung Kwong Shing and bans him for life   1. Court of Appeal upholds SFC’s […]