This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
MMT sanctions Yorkey Optical, its CEO and Financial Controller for late disclosure of inside information Former investment firm CEO convicted of unlicensed dealing SFC obtains disqualification and $84 million compensation orders against former chairman of First Natural Foods Holdings Limited SFC issues third-quarter report SFC withdraws Restriction Notice issued to a broker in connection with […]
Press release – CompliancePlus submitted response to proposal on enhancing asset management regulation and Point-of-sale transparency issued by SFC (24 February 2017)
Content Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct SFC reprimands and fines MIS Services Limited (formerly known as Standard Chartered Investment Services Limited) HK$3 million for regulatory breaches SFC bans Cheung Kwan Po for six months SFC reprimands and fines Chang Chyi SFC bans Choi Siu Ki for […]
Content Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of HK$2 million for late disclosure of inside information SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Titan Petrochemicals Group Limited shares SFC revokes licences of Goodcape Securities Limited and its responsible officers Tang Lin Sun and […]
賣基金須披露回佣 業界：證監管太多 (2017-01-23)
SFC reprimands and fines North Sea Securities Limited $700,000 SFC bans Ma Yu Lung for eight years SFC reprimands and fines Value Partners $4 million SFC seeks court orders against former and current directors of Hanergy Thin Film Power Group Limited SFC and SEHK issue joint statement on GEM initial public offerings Joint statement regarding […]
Press Release – CompliancePlus hosted the 2016 Annual Compliance Training (12 December 2016)
Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct SFC bans Lam Yuk Wai for life SFC issues further guidance on suitability obligations Pilot test on expanded Short Position Reporting New SFC measures to heighten senior management accountability SFC issues Restriction Notices to two brokers to freeze a client account […]
Content Court convicts Gold Root Global Investments Limited of unlicensed dealing SFC revokes licenses of Richmond Asset Management Limited and its responsible officer Graham frank Bibby and bans him for 10 years SFC bans Lawrence Lai for 10 years Market Misconduct Tribunal finds AcrossAsia Limited, its CEO and former chairman culpable of late disclosure of […]
Press Release-Presentation of CompliancePlus Consulting Limited Prize for Pro-bono Work in Clinical Legal Education (7 December 2016)