This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
ETF Connect: Regulators announce implementation details New speech by Ashley Alder: Keynote speech at PRI China Conference: Investing for Net Zero and SDGs New speech by Ashley Alder: Keynote speech at ASIFMA China Capital Markets Conference SFC bans Ho Pak Hay for life Court orders Pyramid and Ponzi scheme fraudsters to compensate investors
SFC proposes changes to the position limit regime Amendments to the REIT Code in relation to bookbuilding and placing activities SFC bans Poon Choi Yung for 20 months SFC publicly criticises Gao Yunhong and Feng Xuelian for breaches of the Takeovers Code Regulators conclude consultation on new calculation periods and consult on annual update to […]
Press Release – CompliancePlus Advises on Endowus’ Successful Digital Advisor SFC Licenses Application (25 Mar 2022)
The Green and Sustainable Finance Cross-Agency Steering Group welcomes the publication of the International Sustainability Standards Board proposed standards for public consultation Appointments to SFC committees Cross-Agency Steering Group releases assessment of carbon market opportunities for Hong Kong and next steps SFC bans Kim Bum Suk for 27 months New speech by Christina Choi: Climate […]
Press Release – CompliancePlus Donated 10,000 COVID-19 Rapid Antigen Test Kits (21 Feb 2022)
SFC issues quarterly report SFC concludes consultation on regulating trustees and custodians of public funds and further consults on implementation details Court orders insider dealers to pay $12.9 million to investors SFC reprimands and fines South China Commodities Limited $4.8 million for regulatory breaches
Hong Kong Exodus Forces Market Watchdog Staff Into 12-Hour Days (2022-02-17)
SFC reprimands and fines Citigroup Global Markets Asia Limited $348.25 million for serious regulatory failures over client facilitation activities Thematic reviews by ASIC and SFC of the foreign exchange (FX) activities of global financial groups Market Misconduct Tribunal sanctions Tianhe Chemicals Group Limited and its executive director for issuing false or misleading information in the […]
Process Review Panel Report 2020-21 Court convicts Wai Chun Holdings Group Limited and its director of Disclosure of Interests Offences SFC reprimands and fines Grand International Futures Co., Limited $8 million and suspends its responsible officer for regulatory breaches SFC bans Chu Chun Wai for seven months for supervisory failures SFC and CSRC hold high-level […]
Executive Director – Enforcement SFC issues restriction notices to two brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam SFC Regulatory Forum explores Hong Kong’s future role as China’s international financial centre Court finds trio engaged in insider dealing in TeleEye shares SFC bans Ma Kwok Ho and Gee King Yip […]