Entries by Tony Chan

Regulatory News (Aug 2017)

August 14, 2017 in /by

SFC issues restriction notices to three brokers to freeze client accounts linked to suspected market manipulation SFC publicly censures Yeung Wing Yee and imposes a cold shoulder order for breach of the Takeovers Code SFC issues first-quarter report SFC and DFSA sign Fintech cooperation agreement SFC and Hong Kong Police sign MoU to strengthen co-operation […]

Newsletter – July 2017

July 31, 2017 in /by

Content Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information SFC issues restriction notice on W. Falcon Asset Management (Asia) Limited Hong Kong’s fund management business grows steadily in […]

Regulatory News (Jul 2017)

July 31, 2017 in /by

Court ordered insider dealer Sun Min to pay $15.6 million to investors Court convicts licence applicant for providing SFC with false information Court sets pre-trial date for insider dealing case SFC suspends Chan Wai Ling for 12 months SFC concludes consultation and further consults on changes to financial resources rules SFC signs MoU with FCA […]

Newsletter – June 2017

July 18, 2017 in /by

Content Court of Appeal upholds SFAT’s ruling on SFC’s disciplinary action against Moody’s over Red Flags Report SFC commences insider dealing prosecutions over proposed privatisation of Integrated Distribution Services Group Former responsible officer convicted and fined for illegal short selling SFC issues restriction notice on IDS Forex HK Limited SFC bans Li Bo for eight […]

Newsletter – May 2017

July 18, 2017 in /by

Content Court of Appeal dismisses SFC’s appeal against MMT decision SFC reprimands and fines Promising Securities Company Limited HK$3.5 million SFC bans Tsap Wai Ping for two years SFC bans Bernie Wong Ching Man for four months SFC suspends Hui Lam Chiu for six months 1. Court of Appeal dismisses SFC’s appeal against MMT decision […]

Newsletter – April 2017

July 18, 2017 in /by

Content SFC reprimands and fines Guoyuan Securities Brokerage (Hong Kong) Limited HK$4.5 million for breaches of anti-money laundering guidelines Market Misconduct Tribunal sanctions Mayer Holdings Limited and its current and former senior management for late disclosure of inside information MMT finds no market misconduct in CITIC’s publication of a circular SFC reprimands and fines iSTAR […]

Newsletter – March 2017

July 18, 2017 in /by

Content Market Misconduct Tribunal sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information SFC reprimands and fines Guangdong Securities Limited HK$3 million for breach of anti-money laundering guidelines and bans former responsible officer of Guangdong Securities Limited for nine months over internal control failures SFC reprimands and fines Zhongtai International […]