Regulatory News – Page 10 – CompliancePlus Consulting Limited

Regulatory News (Dec 2016)

December 8, 2016/in Regulatory News /by Tony Chan

Market Misconduct Tribunal finds Greencool’s former chairman and senior executives culpable of market misconduct
SFC bans Lam Yuk Wai for life
SFC issues further guidance on suitability obligations
Pilot test on expanded Short Position Reporting
New SFC measures to heighten senior management accountability
SFC issues Restriction Notices to two brokers to freeze a client account linked to suspected account hacking and market manipulation
SFC bans Poon Kin Lung for two years
SFC revokes licences of Goodcape Securities Limited and its responsible officers Tang Lin Sun and Chang Siu Ming
SFC publicly criticises Southwest Securities International Investment Limited, Li Zhi Tao and Dong Jiang Wen for breach of the Takeovers Code
SFC emphasises timely and accurate disclosure of inside information
SFC and HKEX keep rights issues and open offers under scrutiny
SFC welcomes appointment of Non-Executive Director
SFC survey on the selling of investment products
Update on the SFC’s enforcement approach
SFC issues second-quarter report
SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Titan Petrochemicals Group Limited shares
SFC and FINMA sign agreement on Switzerland-Hong Kong Mutual Recognition of Funds
New event synopsis: SFC Regtech and Fintech Contact Day 2016
New speech by Christina Choi: The development of Hong Kong as an asset management centre

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-12-08 18:43:382017-01-24 14:36:12Regulatory News (Dec 2016)

Regulatory News (Nov 2016)

November 2, 2016/in Regulatory News /by Tony Chan

Market Misconduct Tribunal fines AcrossAsia Limited, its former chairman and CEO a sum of $2 million for late disclosure of inside information
Mandatory online submission of individual licensing applications, notifications and annual returns
Launch of Shenzhen-Hong Kong Stock Connect
Joint Announcement of the China Securities Regulatory Commission and the Hong Kong Securities and Futures Commission
SFC proposes to enhance asset management regulation and point-of-sale transparency
SFC publicly censures Zheng Dunmu and imposes a cold-shoulder order for breach of the Takeovers Code
SFC bans Benedict Ku Ka Tat for one year and fines him $150,000
SFC bans Derek Ong for 10 years
Court of Final Appeal dismissed leave application of C.L. Management Services Limited and its sole owner
New speech by Ms Bénédicte Nolens: Fintech and Regtech: A Securities Regulator’s Perspective
New speech by Thomas Atkinson: 7th Pan Asian Regulatory Summit
Market Misconduct Tribunal finds AcrossAsia Limited, its CEO and former chairman culpable of late disclosure of inside information
SFC hosts Regtech and Fintech Contact Day 2016
SFC bans Lawrence Lai for 10 years

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-11-02 19:14:382016-12-08 18:28:25Regulatory News (Nov 2016)

Regulatory News (Oct 2016)

October 13, 2016/in Regulatory News /by Tony Chan

SFC revokes licences of Richmond Asset Management Limited and its responsible officer Graham Frank Bibby and bans him for 10 years
Process Review Panel Report 2015-2016
Court convicts Gold Root Global Investments Limited of unlicensed dealing
SFC hosts IOSCO Board meeting in Hong Kong
Market Misconduct Tribunal bans Andrew Left of Citron Research from trading securities in Hong Kong
SFC reprimands and fines two JP Morgan entities HK$5.6 million for regulatory breaches
SFC welcomes re-appointment of Non-Executive Director
Takeovers Panel upholds ruling on offer for L&A International
SFC suspends Lo Tsz On for one year
SFC seeks compensation and disqualification orders against former and current directors of Freeman FinTech Corporation Limited
SFC bans Chen Chia Hui for life
SFC bans William Wong Yick Lok for three years

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-10-13 13:06:192016-11-02 18:46:04Regulatory News (Oct 2016)

Regulatory News (Sep 2016)

September 13, 2016/in Regulatory News /by Tony Chan

SFC reminder on expanded Short Position Reporting
New appointment to SFC committees
SFC notifies the industry of anti-money laundering concerns
SFC issues Restriction Notice to a broker to stop two clients from withdrawing shares and transferring money connected with suspected insider dealing
SFC proposes to enhance position limit regime
SFC reprimands and fines HSBC $2.5 million for regulatory breaches
SFC commences MMT proceedings against former CEO of China AU and related parties for false trading
SFC and the Exchange extend deadline for response to the joint consultation on listing regulation
People fraudulently impersonating staff of Lippo Securities Limited
SFC bans Chau Hang Yu and Steve Chow Chun Yin for life

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-09-13 16:28:272016-10-13 13:00:06Regulatory News (Sep 2016)

Regulatory News (Aug 2016)

August 2, 2016/in Regulatory News /by Tony Chan

SFC designates central counterparties for OTC derivative transactions
SFC reprimands and fines BNP Paribas Wealth Management $4 million
Market Misconduct Tribunal finds Andrew Left of Citron Research culpable of market misconduct
SFC reprimands and fines Morgan Stanley Hong Kong Securities Limited $18.5 million over internal control failures
SFC suspends Ku Yuen Leung for 18 months
Regulators announce Shenzhen-Hong Kong Stock Connect
Joint Announcement of the China Securities Regulatory Commission and the Securities and Futures Commission
SFC issues first-quarter report
SFC bans and fines Lam Chun Yin and Yeung Chok Cheong
Market Misconduct Tribunal finds no insider dealing in Warderly shares
SFC suspends Ko Cho Ting for two years
SFC fines Quam Capital Limited $800,000 over sponsor failures
SFC bans Wong Lap Yin for three years

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Regulatory News (Jul 2016)

July 29, 2016/in Regulatory News /by Tony Chan

SFC welcomes appointment of Executive Director of Investment Products
SFC commences MMT proceedings against former senior executive of ENN Energy over alleged insider dealing
Hong Kong’s fund management business holds steady in 2015
SFC welcomes re-appointment of Non-Executive Directors
Regulators release further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market
SFC bans Chan Hau Wing for two years
New speech: Keynote remarks at HFSB Institutional Investor Roundtable

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-07-29 17:53:282016-07-29 17:53:28Regulatory News (Jul 2016)

Regulatory News (Jun 2016)

June 7, 2016/in Regulatory News /by Tony Chan

SFC publishes Annual Report 2015-16
Former director of NCA International Holdings Limited acquitted of unlicensed activities
SFC and HKEX issue joint consultation on listing regulation
SFC reprimands and fines State Street Global Advisors Asia Limited $4 million over management of Tracker Fund
SFC reprimands and fines Schroder Investment Management (Hong Kong) Limited $1.8 million for disclosure failures
New speech: Keynote speech at ASIFMA-GFMA Market Liquidity Conference 2016
SFC’s Acting Head of Investment Products
Court rules on appeals over unlicensed activities
SFC issues Restriction Notice to a broker to stop a client from withdrawing shares and transferring money connected with suspected insider dealing
New speech: Speech at HKSI luncheon

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Regulatory News (May 2016)

May 5, 2016/in Regulatory News /by Tony Chan

SFC obtains disqualification orders against former senior executives of China Best Group Holding Limited
SFC reprimands and fines SynerWealth Financial Limited $2.7 million
SFC publicly criticises China New Way Investment Limited and related parties for breach of Takeovers Code
SFC signs MoU with FINRA to enhance supervision and oversight of Cross-Border Regulated Entities
Administrators complete distribution of restoration payments to investors affected by Tiger Asia’s insider dealing
Takeovers Panel rules on breach of Takeovers Code by a subsidiary of Alibaba Group Holding Limited
SFC CEO appointed Chair of IOSCO Board
SFC hosts Fourth Asia Pacific Takeovers Regulators Conference
SFC bans Yeung Chun Him for 12 months
SFC reprimands and fines Solid King Securities Limited $700,000

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-05-05 16:42:192016-06-07 11:28:56Regulatory News (May 2016)

Regulatory News (Apr 2016)

April 12, 2016/in Regulatory News /by Tony Chan

Licence applicant convicted of providing false information to SFC
Defendants acquitted of unlicensed dealing
SFC formally adopts initiatives to enhance fund authorization process after pilot-run
SFC bans Andrew Chow Ho Cheung for life
New speech: Speech at HKIFA luncheon
SFC commences MMT proceedings against Yorkey Optical International (Cayman) Limited, its CEO and Financial Controller for late disclosure of inside information
SFAT affirms SFC decision to reprimand and fine Moody’s over Red Flags Report

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Regulatory News (Mar 2016)

March 2, 2016/in Regulatory News /by Tony Chan

Appointments to SFC committees
SFC suspends Ernest Ho Gar Fai for four months
SFC bans Yuen Siu Lun for seven years
SFC extends waiver of annual licensing fees
SFC welcomes appointment of Executive Director of Enforcement
SFC reprimands Unicorn Securities Company Limited and fines it and its former responsible officer $3.2 million
SFC bans Ng Hongs for 10 months
SFC commences MMT proceedings against Mayer Holdings Limited and its senior management over late disclosure of inside information
SFC bans Raaj Shah for 12 months
SFC publishes consultation conclusions on Principles of Responsible Ownership
SFC and DoJ sign MoU to strengthen cooperation in handling criminal cases
SFC stresses accurate, clear and balanced disclosure of inside information
SFC concludes consultation on changes to ATS Guidelines
SFC reprimands and fines Wan Xing $200,000
SFC establishes Fintech Contact Point

http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg 0 0 Tony Chan http://www.complianceplus.hk/wp-content/uploads/2015/10/Company-logo-340x170.jpg Tony Chan2016-03-02 12:13:192016-04-12 13:43:37Regulatory News (Mar 2016)

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