This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
SFC obtains court order to wind up China Metal Recycling (Holdings) Limited SFC bans Katherina Lo Ka Shun for two years for improper trading arrangement SFC bans former CEO of Ping An of China Securities (Hong Kong) Company Limited for 12 months over internal control failures SFC issues third-quarter report Court dismisses judicial review application […]
Contents: SFC commences proceedings in Market Misconduct Tribunal over alleged false research report SFC issues Restriction Notice on Goodcape Securities Limited Court grants orders to restrain suspected boiler rooms SFC bans Jagjit Singh Dhillon from re-entering the industry for life over improper activities Unlicensed dealing prosecution transferred to District Court SFC obtains court orders against […]
Amendments to Code on Unit Trusts and Mutual Funds take effect SFC unveils report on asset management SFC obtains court orders against current and former directors of First China to compensate the company RMB18.69 million SFC signs MoU with ESMA on cooperation arrangements for Hong Kong-established central counterparties Unlicensed dealing prosecution transferred to District Court […]
Contents: SFC publicly criticised Wen Yibo for breach of Takeovers Code SFC suspended former responsible officer of ICBCI Securities for eight months for failures related to IPO shares subscription SFC banned Lee Wai Keung for 12 months for breach of conflict of interest rules SFC adopted proposals to allow greater flexibility for authorised funds in […]
Press Release – CompliancePlus to present in the 13th Annual dbAccess China Conference 2015 in Beijing (5 January 2015) Download presentation file
Press Release – CompliancePlus to sponsor AIMA in Asia 2015 Forum (29 December 2014)
SFC welcomes re-appointment of Non-Executive Director SFC commences proceedings in Market Misconduct Tribunal over alleged false research report Court freezes bank accounts of suspected boiler rooms SFC launches consultation on supervisory assistance to overseas regulators Second SFC mystery shopping programme identifies deficiencies in selling practices Market Misconduct Tribunal sets date for CITIC hearing SFC issues […]
Newsletter – November 2014 Contents: SFC bans Yan Chee Yung for life for defrauding client and misappropriating client money SFC bans Leung Wai Hung for 18 months for circumventing the order recording requirements SFC reprimands and fines Yue Siying for negligence Court dismisses judicial review against Takeovers Panel Joint Announcement of China Securities Regulatory Commission […]
Joint HKMA-SFC consultation conclusions on reporting and record keeping rules for OTC derivatives Freezing injunction against Greencool’s ex-chairman extended pending SFC proceedings Regulators approve launch of Shanghai-Hong Kong Stock Connect Joint Announcement of China Securities Regulatory Commission and Securities and Futures Commission Court dismisses judicial review against Takeovers Panel Market Misconduct Tribunal sets date for […]
Newsletter – October 2014 Contents: SFC seeks court orders against former chairman and directors of Sinogreen SFC revokes license of John David Lawrence and fines him HK$900,000 Market participants urged to comply with short position reporting Market Misconduct Tribunal bans Tiger Asia and Bill Hwang from trading securities in Hong Kong SFC obtains disqualification order […]