Entries by Tony Chan

Newsletter – May 2014

June 10, 2014 in /by

Compliance is a constantly changing environment. The resources you need to stay up to date are not always easily accessible and rarely in a single location.  www.complianceplus.hk is updated on an ongoing basis from the perspective of compliance veterans.   We provide compliance resources, checklists, research articles, news on current market trends and regulatory updates all […]

Regulatory News (Jun 2014)

June 5, 2014 in /by

SFC annual report: upholding standards SFC proposes greater flexibility for dissemination of prices and net asset values by authorized funds Ernst & Young produces audit working papers in Hong Kong and appeals order over Mainland papers SFC commences proceedings against Greencool’s former chairman and seeks to freeze $1.59 billion of his assets to compensate investors […]

Regulatory News (May 2014)

May 7, 2014 in /by

Director of securities firm convicted of providing SFC false or misleading information SFAT affirms SFC decision to suspend former responsible officer of China Securities Holdings Limited Court orders EY to produce accounting records to SFC SFC reprimands and fines Deutsche Bank Aktiengesellschaft $1.6 million for regulatory breaches SFC reprimands and fines ICBC International Capital Limited […]

Regulatory News (Apr 2014)

April 1, 2014 in /by

Futures trader convicted of false trading Market manipulator jailed for false trading SFC reprimands and fines The Royal Bank of Scotland PLC $6 million for internal control failings SFC seeks court orders against chairman, current and former directors of Minth Group Limited Court remands market manipulator in custody Joint Announcement of China Securities Regulatory Commission […]

Regulatory News (Mar 2014)

March 4, 2014 in /by

Court appoints interim receivers and managers for Qunxing Paper Appointments to SFC committees SFC suspends Pat Siu Mei Yee SFC waives annual licensing fee for over 39,000 licensees SFC seeks disqualification orders against former chairman and executive directors of Tack Fiori Group International Limited Court dismisses appeal by former VST Holdings chairman against price rigging […]

Regulatory News (Feb 2014)

February 5, 2014 in /by

SFC proposes to strengthen regulation of alternative liquidity pools SFC bans Choi Yuet Yan for life SFC bans Jonathan Yan Cheuk Fung for life SFC bans Lum Yin Ling for life SFC bans To Ka Kit for three years Retail investor convicted of misleading the SFC in market manipulation investigation SFC bans Stephen Yenn Man […]

Regulatory News (Jan 2014)

January 10, 2014 in /by

SFC commences Market Misconduct Tribunal proceedings against former Asia TeleMedia Limited chairman and others SFAT affirms SFC decision to fine Sun Hung Kai International Limited $12 million and suspend its licence for IPO sponsor failures SFC consults the public on amendments to Code on Real Estate Investment Trusts Court of First Instance overturns acquittals and […]