Entries by Tony Chan

Regulatory News (Nov 2016)

November 2, 2016 in /by

Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of $2 million for late disclosure of inside information Mandatory online submission of individual licensing applications, notifications and annual returns Launch of Shenzhen-Hong Kong Stock Connect Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission […]

Newsletter – October 2016

November 2, 2016 in /by

Content SFC bans William Wong Yick Lok for three years SFC bans Chen Chia Hui for life SFC seeks compensation and disqualification orders against former and current directors of Freeman FinTech Corporation Limited SFC suspends Lo Tsz On for one year SFC reprimands and fines FXCM Asia Limited HK$4 million SFC reprimands and fines two […]

Newsletter – September 2016

November 2, 2016 in /by

Content SFC notifies the industry of anti-money laundering concerns SFC reprimands and fines BNP Paribas Wealth Management HK$4 million SFC bans Chau Hang Yu and Steve Chow Chun Yin for life following their criminal convictions SFC commences MMT proceedings against former CEO of China AU and related parties for false trading SFC reprimands and fines […]

Regulatory News (Oct 2016)

October 13, 2016 in /by

SFC revokes licences of Richmond Asset Management Limited and its responsible officer Graham Frank Bibby and bans him for 10 years Process Review Panel Report 2015-2016 Court convicts Gold Root Global Investments Limited of unlicensed dealing SFC hosts IOSCO Board meeting in Hong Kong Market Misconduct Tribunal bans Andrew Left of Citron Research from trading […]

Newsletter – August 2016

September 14, 2016 in /by

Content SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited HK$18.5 million over internal control failures Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct Market Misconduct Tribunal finds no insider dealing in Warderly shares SFC bans Wong Lap Yin for three years SFC Fines Quam Capital Limited HK$800,000 over […]

Regulatory News (Sep 2016)

September 13, 2016 in /by

SFC reminder on expanded Short Position Reporting New appointment to SFC committees SFC notifies the industry of anti-money laundering concerns SFC issues Restriction Notice to a broker to stop two clients from withdrawing shares and transferring money connected with suspected insider dealing SFC proposes to enhance position limit regime SFC reprimands and fines HSBC $2.5 […]