This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
CSRC and SFC sign MoU to enhance supervisory and enforcement cooperation in futures markets SFC bans Ng Chau for six months Court orders re-trial after allowing SFC’s appeal in illegal short selling case SFC publicly censures Zhang Qiang for breach of the Takeovers Code SFC launches consultation on OTC derivatives and conduct risks New SFC […]
SFC announces investor identification for Northbound trading under Stock Connect Joint reviews by HKMA and SFC on managing conflicts of interest in financial groups SFC fines Danny Fung Kwong Shing and bans him for life HSBC Private Bank (Suisse) SA fined HK$400 million for systemic failures in selling structured products SFC concludes consultation on asset […]
Content Court allows TVB’s judicial review SFC bans Xu Tao for four months Court of Appeal dismissed Moody’s leave application to appeal to the Court of Final Appeal 1. Court allows TVB’s judicial review On 4 October 2017, the Court of First Instance has granted leave and allowed a judicial review of the Takeovers […]
SFC and HKMA address hacking risks associated with internet trading Court of Appeal dismissed Moody’s leave application to appeal to the Court of Final Appeal SFC fully implements Manager-In-Charge regime SFC bans Xu Tao for four months New speech by Thomas Atkinson: Keynote address at 8th Pan Asian Regulatory Summit New speech by Ashley Alder: […]
Content SFC obtains disqualification and court orders against former chairman and current directors of Hanergy Thin Film Power Group Limited SFC issues statement on initial coin offerings SFC commences insider dealing prosecution in China CBM shares SFC publicly censures Chen Chi-Te and Kenneth C.M. Lo for breaches of the Takeovers Code SFC secures conviction against […]
Press Release – CompliancePlus presented awards to winners of Clinical Legal Education Book Prize 2017 in HKU (31 August 2017)
Launch of the SFC Regulatory Sandbox SFC bans Shum Kam Ming for life SFC secures conviction against ETRADE Securities (Hong Kong) Limited for marketing of unlicensed US brokerage services in Hong Kong SFC and Exchange conclude joint consultation on listing regulation SFC welcomes re-appointment of Non-Executive Directors SFC and Securities Commission Malaysia sign Fintech cooperation […]
Content Court ordered insider dealer Sun Min to pay HK$15.6 million to investors SFC publicly censures China Life Insurance (Overseas) Company Limited for breaches of Takeovers Code Court of First Instance dismissed application by Hong Kong Game Theory for leave to appeal to the Court of Final Appeal Court of Appeal dismissed SFC’s leave application […]
經濟日報 : 港交所研加強 獨立非執董透明度 (2017-09-05)
CompliancePlus conducted a seminar on HK SFC Compliance and Licensing with Shenzhen Essence International (2017-08-29)