This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Licence applicant convicted of providing false information to SFC Defendants acquitted of unlicensed dealing SFC formally adopts initiatives to enhance fund authorization process after pilot-run SFC bans Andrew Chow Ho Cheung for life New speech: Speech at HKIFA luncheon SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for […]
Content SFC establishes Fintech Contact Point SFC reprimands and fines Wan Xing HK$200,000 SFC concludes consultation on changes to ATS Guidelines SFC publishes consultation conclusions on Principles of Responsible Ownership SFC bans Raaj Shah for 12 months SFC commences MMT proceedings against Mayer Holdings Limited and its senior management over late disclosure of inside information […]
Content SFC publicly censures Goldman Sachs for breaches of the Takeovers Code HKMA and SFC release conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market SFC bans Chow Chi Keung for life SFC issues third-quarter report SFC bans Alice Yim Ping for three years SFC bans Jia Zhen for 10 months […]
Click here to watch video clip
Appointments to SFC committees SFC suspends Ernest Ho Gar Fai for four months SFC bans Yuen Siu Lun for seven years SFC extends waiver of annual licensing fees SFC welcomes appointment of Executive Director of Enforcement SFC reprimands Unicorn Securities Company Limited and fines it and its former responsible officer $3.2 million SFC bans Ng […]
Ming Pao interview on crowd funding (2) (2016-2-27)
Ming Pao interview on crowd funding (2016-2-17)
Content SFC reprimands and fines Lui Chi Hang HK$300,000 Licence applicant convicted of providing false or misleading information to SFC SFC bans Steven John Barrett for 10 months Court freezes bank accounts of suspected boiler rooms Court finds two solicitors engaged in insider dealing and fraud or deception SFC bans Liu Hsiang-wen for eight months […]
Content SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case SFC proposes to expand short position reporting SFC issues second-quarter report SFC publishes consultation conclusions on client agreement requirements Court dismisses appeal by a […]
SFC reprimands and fines Yuanta Securities (Hong Kong) Company Limited $4 million Arrest warrant issued for alleged insider dealer Executive Director, Intermediaries Division SFC concludes on expanding scope of short position reporting SFC bans Jia Zhen for 10 months Second SFC Regulatory Forum focuses on market connectivity SFC bans Alice Yim Ping for three years […]