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 obtains court order against Shandong Molong Petroleum Machinery Company Limited SFC reprimands and fines Mega International Commercial Bank Co., Ltd. HK$7 million for regulatory breaches over CIS sale SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd SFC reprimands and fines Southwest Securities (HK) Brokerage Limited HK$5 million for breaches of […]
SFC office relocation Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions SFC publishes Annual Report 2019-20 SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating […]
SFC bans Kwok Chau Mo for nine months SFC seeks court order to wind up Combest Holdings Limited SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation SFC welcomes re-appointment of Chief Executive Officer SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of […]
Content SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers SFC issues restriction notice to Agg. Asset Management Limited SFC reprimands and fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for regulatory breaches over funds’ cash management SFC reprimands and fines BOCOM International Securities […]
Content SFC bans Chan Tan Lo for 14 months SFC bans Mo Shau Wah for life Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information 1. SFC bans Chan Tan Lo for 14 months On 19 March 2020, SFC has banned Ms. Chan Tan Lo, […]
Unlicensed fund manager sentenced to community service SFC signs MoU with Competition Commission SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited SFC cautions on crude oil futures and ETFs SFC regulatory response to COVID-19 SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures SFC scrutinises leveraged […]
Content SFC bans Christopher Tse for 12 months SFC reprimands and fines BMI Securities Limited HK$3.7 million and suspends its responsible officer for breaches of anti-money laundering regulatory requirements SFC reprimands and fines Capital Global Management Limited HK$1.5 million Court dismisses challenge to SFC’s investigative powers 1. SFC bans Christopher Tse for 12 […]
Appointments to SFC committees SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime SFC issues guidance to fund industry amidst COVID-19 outbreak Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of […]
Content SFC reprimands and fines FIL Investment Management (Hong Kong) Limited HK $3.5 million for regulatory breaches SFC publicly censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and their representatives for breaching the Code on Share Buy-backs SFC reprimands and fines RHB Securities Hong Kong Limited HK $6.4 million Court convicts unlicensed […]
Content SFC waives licensing fees for 2020/21 SFC issues quarterly report SFC bans W. Falcon Asset Management (Asia) Limited’s former chairman for life and ex-CFO for three years SFC reprimands and fines Adamas Asset Management (HK) Limited $2.5 million 1. SFC waives licensing fees for 2020/21 On 4 December 2019, the SFC has announced […]