Entries by Tony Chan

Regulatory News (Aug 2016)

August 2, 2016 in /by

SFC designates central counterparties for OTC derivative transactions SFC reprimands and fines BNP Paribas Wealth Management $4 million Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited $18.5 million over internal control failures SFC suspends Ku Yuen Leung for 18 months […]

Newsletter – July 2016

July 29, 2016 in /by

Content SFC bans Chan Hau Wing for two years SFC Research paper – Half-yearly Review of the Global and Local Securities Markets Hong Kong’s fund management business holds steady in 2015 SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing 1. SFC bans Chan Hau Wing for two years […]

Newsletter – June 2016

July 29, 2016 in /by

Content SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited HK$1.3 million SFC reprimands and fines SynerWealth Financial Limited HK$2.7 million SFC obtains disqualification orders against former senior executives of China Best Group Holding Limited SFC issues Restriction Notice to a broker to stop a client from withdrawing shares and transferring money connected with […]

Regulatory News (Jul 2016)

July 29, 2016 in /by

SFC welcomes appointment of Executive Director of Investment Products SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing Hong Kong’s fund management business holds steady in 2015 SFC welcomes re-appointment of Non-Executive Directors Regulators release further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives […]

Newsletter – May 2016

June 10, 2016 in /by

Content Licence applicant Chiu Sing Ho convicted of providing false information to SFC SFC reprimands and fines Solid King Securities Limited HK$700,000 SFC bans Yeung Chun Him for 12 months Takeovers Panel rules on breach of Takeovers Code by a subsidiary of Alibaba Group Holding Limited Administrators complete distribution of restoration payments to investors affected […]

Newsletter – April 2016

June 10, 2016 in /by

  Content SFC bans Yuen Siu Lun for seven years SFC suspends Ernest Ho Gar Fai for four months SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for late disclosure of inside information SFC bans […]

Regulatory News (Jun 2016)

June 7, 2016 in /by

SFC publishes Annual Report 2015-16 Former director of NCA International Holdings Limited acquitted of unlicensed activities SFC and HKEX issue joint consultation on listing regulation SFC reprimands and fines State Street Global Advisors Asia Limited $4 million over management of Tracker Fund SFC reprimands and fines Schroder Investment Management (Hong Kong) Limited $1.8 million for […]

Regulatory News (May 2016)

May 5, 2016 in /by

SFC obtains disqualification orders against former senior executives of China Best Group Holding Limited SFC reprimands and fines SynerWealth Financial Limited $2.7 million SFC publicly criticises China New Way Investment Limited and related parties for breach of Takeovers Code SFC signs MoU with FINRA to enhance supervision and oversight of Cross-Border Regulated Entities Administrators complete […]