This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
March 2024 February 2024 January 2024 December 2023 November 2023 October 2023 September 2023 August 2023 July 2023 June 2023 May 2023 April 2023 March 2023 February 2023 January 2023 December 2022 November 2022 October 2022 September 2022 August 2022 July 2022 June 2022 May 2022 April 2022 March 2022 February 2022 January 2022 December […]
SFC supports early vaccination drive SFC reprimands and fines Ewarton Securities Limited $1.5 million Appointments and re-appointments to SFC Advisory Committee SFC warns netizens of online investment scams SFC steps up efforts to combat IPO-related misconduct New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021 Market Misconduct Tribunal sanctions China Medical […]
SFC and Police joint operation against listed company and senior executives SFC revokes IDS Forex HK Limited’s licence and bans its former co-CEOs for life New speech by Tim Lui: Speech at National Security Education Day New speech by Ashley Alder: Speech at the Eurofi High Level Seminar 2021 SFC reprimands and fines Optimas Capital […]
SFC reprimands and fines Black Marble Securities Limited $1.8 million for internal control failings and regulatory breaches Appointments to SFC committees SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited SFC welcomes appointment and re-appointment of Non-Executive Directors […]
SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators SFC and FRC to enhance collaboration SFC welcomes government budget measures SFC issues quarterly report SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures SFC issues restriction notices to 13 brokers […]
信報 : 基金披露氣候風險 業界籲延長過渡期 (2021-01-14)
SFC issues restriction notices to five brokers to freeze client accounts linked to suspected market manipulation Hong Kong and Thailand regulators sign MoU on Mutual Recognition of Funds New speech by Ashley Alder: Special remarks at the Asian Financial Forum 2021 Court upholds jail sentence against former GEM-listed group finance manager for insider dealing Company […]
SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation SFC reprimands and fines Fulbright Securities Limited $3.6 million SFC concludes consultation on customer due diligence requirements for open-ended fund companies SFC previews new electronic licensing services SFC proposes amendments to the Code on Pooled Retirement Funds Company secretary […]
SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives SFC concludes consultation on changes to the REIT Code SFC bans Pang Hon Pan for 21 months SFC bans Chan Shun King for 24 months SFC supports Chief Executive’s initiatives SFC and ISA sign Fintech cooperation agreement SFC statement […]
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