This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Process Review Panel Report 2014-2015 New speech: Keynote address at 2015 ISDA Annual Asia Pacific Conference SFC bans Wong Sze Yiu for six months Takeovers Panel upholds the Takeovers Executive’s decision that no mandatory general offer obligation triggered for China Oriental SFC bans Ko Shu Chuan for six years SFC bans Masashi Yonezawa for 30 […]
Press release – ComplianccePlus presented book prizes to outstanding students of the Clinical Legal Education Course in HKU (12 October 2015)
Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market Notice to compensation claimants SFC’s Interim Head of Enforcement
Content SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach SFC fines BNP Paribus Securities (Asia) Limited HK$15 million for dark liquidity pool-related failures SFAT affirms SFC decision to revoke approval of Miranda Sham Sze Wai as responsible officer over internal control failures SFC issues first quarterly report SFC […]
Public advised to beware of fake SFC calls offering investment opportunities SFC welcomes re-appointment of Executive Directors SFC recovers $23 million for investors from restoration orders against insider dealer Du Jun SFC issues first-quarter report SFAT affirms SFC decision to revoke approval of Miranda Sham Sze Wai as responsible officer over internal control failures TV […]
Content Takeovers Panel sanctions Chow Yei Ching, Oscar Chow Vee Tsung and Joseph Leung Wing Kong for breach of Takeovers Code SFAT affirms SFC decision to reprimand and fine The Pride Fund Management Limited for failing to enter into mediation managed by the Financial Dispute Resolution Centre SFC suspends Tai Nga Chun for operating secret […]
Content SFC statement on Hanergy Thin Film Power Group Limited SFC reprimanded BNP Paribas Securities (Asia) Limited HK$11 million for failing to report cross trades to the Stock Exchange SFC banned Yu Chun Chieh for life for misappropriating client’s money SFC concluded consultation on supervisory assistance to regulators outside Hong Kong SFC reprimanded and fined […]
SFC reprimands and fines Nomura International (Hong Kong) Limited HK$4.5 million for regulatory breach SFC commences MMT proceedings against AcrossAsia Limited, its Chairman and CEO for late disclosure of inside information EY’s appeal over audit working papers discontinued Fund management business reached record high in 2014 SFC proposes changes to financial resources rules New event […]
HKEJ front page interview on PRC-HK Mutual Recognition of Funds (8 June 2015)
SFC statement on the SEHK’s draft proposal on weighted voting rights Former licensee given community services and cold shoulder order for false trading New speech available online Lo Chun Lam convicted of unlicensed futures contracts business SFC publishes Annual Report 2014-15 SFC reprimands and fines Phillip Securities (Hong Kong) Limited $1 million over mis-selling of […]