This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Content SFC emphasizes proper disclosure of inside information SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Warderly shares SFC reprimands and fines Kingston HK$500,000 for fitness and properness concerns SFC bans Wong Wai Hong for six months for breaching the Code of Conduct SFC recovers HK$190 million for investors of collapsed hedge […]
Press release – CompliancePlus launched new service on PRC-HK Mutual Recognition of Funds (2 June 2015) Watch media interview by TVB in “Financial Magazine”
Why fund risk management is a bigger challenge – (HKEJ) – 20 May 2015
Hong Kong’s hedge fund industry: Why it will continue to grow – (HKEJ) – 12 May 2015
SFC statement on Hanergy Thin Film Power Group Limited Former licensee convicted of false trading SFAT affirms SFC decision to ban Sun Xiao for 13 months Appointments and re-appointments to SFC Advisory Committee SFC and CSRC sign agreement on Mainland-Hong Kong Mutual Recognition of Funds Joint Announcement of China Securities Regulatory Commission and Securities and […]
Content SFC reprimands and fines JS Cresvale Securities HK$2.5 million SFC welcomes U.S. CFTC exemption for Hong Kong brokers to deal directly with U.S. customers Court grants order compelling attendance of SFC investigation interview SFC survey: Hong Kong hedge fund assets hit record high SFC obtains disqualification order against former executive director of Tack Fiori […]
SFC emphasises proper disclosure of inside information Takeovers Panel publishes reasons for breach of Takeovers Code by Chow Yei Ching, Joseph Leung Wing Kong and Oscar Chow Vee Tsung SFC reprimands and fines Merrill Lynch Far East Limited $2 million for regulatory breaches
Contents: SFC bans Katherina Lo Ka Shun for two years for improper trading arrangement SFC obtains court order to wind up China Metal Recycling (Holdings) Limited SFC seeks comments on Principles of Responsible Ownership SFC seeks disqualification and compensation orders against former chairman and directors of Inno-Tech Holdings Limited SFC bans Wong Chun Yin for […]
Court sets trial date for indictable prosecution for unlicensed dealing Appointments to SFC committees SFC obtains disqualification order against former executive director of Tack Fiori International Group Limited SFC survey: Hong Kong hedge fund assets hit record high Process Review Panel Report 2013-2014 Court grants order compelling attendance of SFC investigation interview SFC welcomes U.S. […]
Contents: SFC bans former CEO of Ping An of China Securities (Hong Kong) Company Limited for 12 months over internal control failures Amendments to Code on Unit Trusts and Mutual Funds take effect Market Misconduct Tribunal disqualifies Water Oasis’s former CEO and orders disgorgement for insider dealing Court dismisses judicial review application by CITIC’s former […]