This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
SFC concludes consultation on conduct requirements for bookbuilding and placing activities SFC concludes consultation on amendments to the Code on Pooled Retirement Funds SFC bans Lau Tin Yau for life Court upholds conviction of Law Sai Hung over unlicensed activities SFAT affirms SFC decision to reprimand and fine Yi Shun Da Capital Limited for sponsor […]
SFC-ICAC operation leads to conviction of Convoy Global’s former senior executives SFC concludes consultation on anti-money laundering guidelines New speech by Tim Lui: Opening address at ACCA Hong Kong Virtual Annual Conference 2021 New synopsis by Christina Choi: Webinar at Hong Kong Securities and Investment Institute
Press Release: CompliancePlus Announces Support for the Task Force on Climate-related Financial Disclosures (20 Sep 2021)
FT/ Ignites Asia: Smaller firms still ‘puzzled’ over HK climate risk disclosure demands (2021-09-01)
SFC suspends Cheung Man Chit for two years SFC alerts the public of unauthorised investment schemes SFC and Police conduct joint operation against listed company and senior executives in $450 million corporate fraud case Approval of the launch of an A shares index futures contract SFC concludes consultation on climate-related risks in funds SFC issues […]
Statement on Next Digital Limited Hong Kong’s asset and wealth management business maintained strong growth in 2020 SFC publicly censures BIT Mining Limited for breaches of the Takeovers Code SFC sanctions Sino-Rich Securities & Futures Limited’s responsible officers Warning statement on unregulated virtual asset platforms Cross-Agency Steering Group announces next steps to advance Hong Kong’s […]
明報: 股樓仍旺 金融界：人才流失或三五年浮現 業界稱國安法下銀行面對凍結帳戶被動(2021-07-03)
Deutsche Bank Stops Sponsoring H.K. IPOs on Staffing Lapse (2021-06-30)
SFC publishes Annual Report 2020-21 Court of Appeal grants SFC $622 million compensation orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC publishes new guidance on ESG fund disclosures SFC reprimands and fines Deutsche Securities Asia Limited $2.45 million over incorrect prime brokerage client statements Annual update to the list of Financial Services Providers under […]