This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Court continues interim injunction to freeze assets of Qunxing Tiger Asia admits insider dealing and ordered to pay investors $45 million SFC reprimands and fines HSBC Securities Brokers (Asia) Limited $5 million for providing inaccurate information in licence application SFC unveils report on trends in risk and risk mitigation SFC bans Ivy Kiu Koon Yee […]
Retail investor convicted of false trading SFC sanctions Daqing Dairy and its directors SFC suspends Stephen Cho Yu Kwan, reprimands and fines Ju You Li SFC commences disciplinary proceedings against Chow Yei Ching and others for alleged breach of Takeovers Code SFC surveys participants in Hong Kong OTC derivatives market SFC bans Sui Yu for […]
Press Release – CompliancePlus awarded the “Best Compliance Services Provider 2013” by AsianInvestor (11 Nov, 2013)
Press Release – CompliancePlus sponsoring Asian Financial Forum 2014 (23 Oct, 2013)
SFC suspends Chen Chi Hing Former licensee convicted of illegal short selling Court dismisses application to strike out SFC insider dealing and fraud case Process Review Panel Report 2012-2013 Unlicensed futures contract adviser in jail custody after conviction Court gives directions in the winding-up proceedings of China Metal Recycling (Holdings) Limited SFC signs MoU with […]
SFC and SEHK publish revised Joint Policy Statement regarding listing of overseas companies SFC reprimands and fines Law Kwan Ming SFC commences disciplinary proceedings against chairman of Pearl Oriental Oil Limited and others for alleged breach of Takeovers Code SFC suspends former responsible officer of China Securities Holdings Limited SFC signs MoU with European authorities […]
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Court appoints provisional liquidators for Salisbury Securities Limited SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $1.6 million for regulatory breaches SFAT allows review for ex-Deutsche trader over trading of HSBC shares SFC reprimands and fines UBS Securities Hong Kong Limited HK$1.6 million for regulatory breaches Court dismisses SFC’s appeal against fund manager’s […]
CompliancePlus Consulting Press Release (3 Jul 2013) CompliancePlus Consulting Press Release (19 Nov 2010) CompliancePlus Consulting Press Release (2 Oct 2009)