This author has yet to write their bio.Meanwhile lets just say that we are proud Tony Chan contributed a whooping 744 entries.
Content SFC commences false trading prosecution against retail investor SFC bans Lai Wing Fat for 20 months Court of Final Appeal dismisses leave application of Andrew Left Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities […]
New speech by Ashley Alder: Opening remarks at SFC Compliance Forum 2020 SFC consults on climate-related risks in funds SFC suspends Sandra Cheung Wing Yi for 12 months SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings Market Misconduct Tribunal sanctions CMBC Capital Holdings […]
SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures SFC reprimands and fines China Everbright Securities (HK) Limited $2.5 million SFC signs new MoU with the Insurance Authority SFC warns of investment scams on social media SFC suspends Mung Wai Sun for nine months SFC launches consultation on […]
Aug.11, 2020 — Josephine Chung, director and founder of CompliancePlus Consulting, discusses how western banks are walking a tight rope when it comes to their operations and obligations in Hong Kong. She speaks on “Bloomberg Markets: China Open.”
AsianInvestor: Capital flight from Hong Kong “set to spike” (2020-08-12)
SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited SFC bans Masy Lo Mee Chi for eight months Hong Kong-Mainland ETF cross-listing approved SFC bans TS’O Jing for life Hong Kong’s asset and wealth management business reports strong growth in 2019 SFC commences criminal prosecution against Zeng Lingxi for obstruction […]
Reuters: How financial firms in Hong Kong may be affected by U.S. sanctions (2020-08-10)
SCMP: National security law: Hong Kong’s financial institutions gripped by anxiety over United States sanctions (2020-08-10)
Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities Policy Statement by the Securities and Futures Commission Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities Court of Final Appeal dismisses leave application of Andrew Left SFC bans Lai Wing Fat for 20 months SFC […]
Content Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities SFC reprimands and fines Potomac Capital Limited HK$800,000 for breaching Financial Resources Rules SFC publicly censures Mr. Fu Kwan for breach of the Takeovers Code SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited […]