This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
QMIS Securities Limited and former responsible officer convicted of giving SFC false or misleading information Court of First Instance upholds convictions of Hong Kong Game Theory Association Limited and its sole director over unlicensed activities SFC consults on new OFC Rules and OFC Code SFC welcomes new CEPA agreements Regulators release conclusions on the OTC […]
深水埗明哥講compliance? (2017-06-05)
SFC emphasises liabilities of listed companies’ senior management New speech by Bénédicte Nolens: Update on SFC Fintech initiatives SFC suspends Hui Lam Chiu for six months SFC bans Bernie Wong Ching Man for four months SFC enhances the position limit regime Appointments and re-appointments to SFC Advisory Committee SFC bans Tsap Wai Ping for two […]
Court of Appeal dismisses SFC’s appeal against MMT decision SFC releases report on retail futures brokers Retail investors convicted of illegal short selling New speech by Ashley Alder: Opening remarks at SFC media luncheon New speech by Carlson Tong: Welcoming remarks at SFC media luncheon Joint HKMA-SFC consultation on the OTC derivatives regulatory regime SFC […]
經濟日報專訊: 押股披露機制 梁定邦：現適時檢討 (2017-04-18)
More Asian banks set to follow HSBC in requiring greater KYC details (2017-04-13)
HK$7 million AML fine against Coutts shows HKMA is strong regulator (2017-04-13)
Press release – CompliancePlus awarded “Best Compliance Service Provider” by AsianInvestor second time in four years (31 March 2017)
Appointments to SFC committees Market Misconduct Tribunal finds no insider dealing in China Gas shares SFC reprimands and fines Merrill Lynch Far East Limited & Merrill Lynch (Asia Pacific) Limited $15 million over internal control failures SFC obtains court orders to freeze bank accounts in suspected Pyramid and Ponzi scheme SFC concludes consultation on position […]
Content SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited SFC reprimands and fines Value Partners HK$4 million SFC bans Ma Yu Lung for eight years SFC reprimands and fines North Sea Securities Limited HK$700,000 SFC obtains court orders to freeze assets in insider dealing investigation Market Misconduct […]