This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Market Misconduct Tribunal sets date for hearing on Greencool’s ex-chairman and former senior executives SFC bans Yan Chee Yung for life SFC suspends Ho Siu Po for seven months SFC signs MoU with CSRC to strengthen enforcement cooperation under Shanghai-Hong Kong Stock Connect Takeovers Panel rules no mandatory general offer obligation triggered for China Oriental […]
Newsletter – September 2014 SFC commences proceedings against CITIC, its former chairman and executive directors SFC suspends Eric Shum Kam Chi for three years for sponsor failures SFC publishes annual review of the Stock Exchange of Hong Kong’s performance in regulating listing matters SFC publishes consultation conclusions on amendments to professional investor regime and further […]
The Court of Final Appeal grants leave to Pacific Sun Advisors Limited and its director to appeal Court convicts two unlicensed dealers Court convicts unlicensed investment portfolio manager SFC welcomes re-appointment of its Chief Executive Officer SFC publishes consultation conclusions on amendments to professional investor regime and further consults on client agreement requirements SFC publishes […]
Press Release – CompliancePlus sponsoring the 5th Pan Asian Regulatory Summit (8 September 2014)
Newsletter – August 2014 SFC bans Manesh Vijaykumar Samtani for life SFC bans former broker Chan Yuk Hing for three years for false trading Market manipulator fined and sentenced to community service SFC suspends Chan Hung Nin for 15 months for unauthorised trading in client’s account SFC reprimands and fines Winnie Pang Wai Yan for […]
Revised Code on Real Estate Investment Trusts takes effect SFC concludes consultation on exemptions for disclosure obligations Roger Tsui Chi Fung banned for providing false information to SFC SFC issues supplemental consultation conclusions on regulation of IPO sponsors SFC issues first-quarter report SFC reprimands and fines Hung Lai Ping for managerial and supervisory failures SFC […]
Press Release – CompliancePlus Hosted a Seminar in Shenzhen for Fund Managers in the Mainland (4 July 2014)
Newsletter – July 2014 Court froze HK$1.2 billion Hisense Kelon of shares in Greencool proceedings Joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market SFC launched corporate regulation newsletter Ping An of China Securities (Hong Kong) Company Limited reprimanded and fined HK$6 million over internal control failures SFC revoked […]
SFC welcomes appointment of Non-Executive Directors SFC reprimands and fines Bright Smart Securities International (H.K.) Limited SFC revokes the licences of Union Securities Limited and its responsible officers Ma Kin Chung and Cheng Tai Ha, and bans both for life SFC publishes Consultation Conclusions on Amendments to the Code on Real Estate Investment Trusts Former […]
As a leading compliance service provider for hedge funds, private equity firms, insurance groups and other financial institutions in Asia, CompliancePlus Consulting Limited held a cocktail reception on 22nd May at the Hong Kong Club to celebrate its 5th Anniversary. Over 150 guests including fund managers, strategists, analysts, traders and CFOs from various financial institutions participated […]