This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
SFC bans Liu Hsiang-wen for eight months Court finds two solicitors engaged in insider dealing and fraud or deception Court freezes bank accounts of suspected boiler rooms SFC bans Steven John Barrett for 10 months Licence applicant convicted of providing false or misleading information to SFC SFC reprimands and fines Lui Chi Hang $300,000
Press Release – Funds of CompliancePlus’ clients among the first batch of funds approved under the MRF scheme (21 Dec 2015)
HKEJ front page interview on PRC-HK Mutual Recognition of Funds (17 Dec 2015)
SFC suspends Fabiano Hugues Joseph Mascolo for three months SFC signs MoU with CFTC to enhance supervision of Cross-Border Regulated Entities SFC bans Suen King Shan for four years Takeovers Panel rules on general offer obligation for The Cross-Harbour (Holdings) Limited SFC authorizes first batch of funds under Mainland-Hong Kong Mutual Recognition of Funds initiative […]
Press Release – Over 200 participants attended the CompliancePlus 2015 Annual Compliance Training on Dec 11
Content Process Review Panel Report 2014-2015 on SFC SFC reprimands and fines Okasan International (Asia) Limited HK$4 million Market Misconduct Tribunal dismisses application by Andrew Left of Citron Research SFC obtains court order to freeze HK$23.5 million assets of Maxim Capital Limited Licence applicant convicted of providing false information to SFC SFC moves to paperless […]
Press Release – CompliancePlus Supporting White Doves in the Past Two Years (30 November 2015)
SFC proposes to expand short position reporting Market Misconduct Tribunal hands down decision on Asia TeleMedia Limited case SFC signs MoU with ESMA on cooperation arrangements and exchanges of information on derivatives contracts reported to trade repositories SFC proposes changes to the ATS Guidelines SFC bans Gong Yueyue for 15 years SFC moves to paperless […]
Content Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market SFC obtains disqualification orders against former chairmen and chief executive officer of First China Financial Network Limited SFC bans Wong Chun for eight years over false trading SFC launches pilot initiatives to enhance fund authorization process SFC bans Chan Chi Yuen for […]
Content SFC’s Interim Head of Enforcement Notice to compensation claimants Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Terrorist Financing: (1) United Nations (Anti-Terrorism Measures) Ordinance; (2) US President’s Executive Order 13224 Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance 1. SFC’s Interim […]