Regulatory News – Page 7 – CompliancePlus Consulting Limited

Regulatory News (Jun 2019)

June 12, 2019/in Regulatory News /by Tony Chan

Regulators conclude consultation on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
SFC and ICAC search sponsor firms
Market Misconduct Tribunal fines Health and Happiness and its chairman $3.2 million in total for late disclosure of inside information
SFC issues restriction notices to 14 brokers to freeze client accounts linked to suspected market manipulation of Smartac Group China Holdings Limited
SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
SFAT affirms SFC decision to reprimand and fine FT Securities Limited $3.5 million
New speech by Julia Leung: Keynote speech at 2019 Risk Hong Kong Conference
SFC reprimands and fines Credit Suisse (Hong Kong) Limited and Credit Suisse AG $2.8 million for regulatory breaches
SFC publishes Annual Report 2018-19
New speeches by Julia Leung: Opening remarks at SFC Compliance Forum 2019
SFC and CSRC hold high-level enforcement cooperation meeting
New speech by Tim Lui: Speech at Hong Kong Institute of Directors Speaker Luncheon Meeting
SFC seeks disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.

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 Chan2019-06-12 11:52:022019-07-16 16:41:38Regulatory News (Jun 2019)

Regulatory News (May 2019)

May 16, 2019/in Regulatory News /by Tony Chan

SFC reprimands and fines China Merchants Securities (HK) Co., Limited $5 million for mishandling client money
SFC bans Wong Ka Hang for nine months
SFC reprimands and fines China Merchants Securities (HK) Co., Limited $27 million for sponsor failures
Court of Appeal dismisses leave application of Andrew Left
Futures trader Tsoi Wan convicted of market manipulation
SFC bans Wang Can for 30 months
SFC suspends Gransing Securities’s chairperson Oei Hong Eng for eight months
SFC-ICAC operation leads to charging of ex-Convoy director Cho Kwai Chee
SFC and AFM sign MoU on Netherlands-Hong Kong Mutual Recognition of Funds

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 Chan2019-05-16 17:50:542019-06-12 11:39:14Regulatory News (May 2019)

Regulatory News (Apr 2019)

April 4, 2019/in Regulatory News /by Tony Chan

Consultation on further enhancements to the OTC derivatives regime
Retrial of insider dealing case after Court of Final Appeal dismisses leave application to appeal
Appointments and re-appointments to SFC Advisory Committee
SFC welcomes re-appointment of Executive Director
SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 10 months
SFC reprimands and fines Nine Masts Capital Limited $1.2 million over naked short selling
Market Misconduct Tribunal fines Fujikon, its CEO and CFO $1.5 million in total for late disclosure of inside information
Former director of DBA Telecommunication (Asia) Holdings Limited convicted of issuing false or misleading announcement
SFC commences insider dealing prosecution against legal adviser
SFC publishes guidance on enhanced disclosures for green or ESG funds
SFC publicly criticises Kwok Tse Wah for breaches of Takeovers Code
SFC concludes consultation on securities margin financing

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 Chan2019-04-04 16:56:492019-05-09 12:44:10Regulatory News (Apr 2019)

Regulatory News (Mar 2019)

March 14, 2019/in Regulatory News /by Tony Chan

Appointments to SFC committees
New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019
SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products
SFC reprimands and fines Merrill Lynch Far East Limited $128 million for sponsor failures
SFC reprimands and fines Morgan Stanley Asia Limited $224 million for sponsor failures
SFC reprimands and fines Standard Chartered Securities $59.7 million for sponsor failures
SFC fines UBS $375 million and suspends its licence for one year for sponsor failures
SFC seeks disqualification orders against former directors of Luxey International (Holdings) Limited
SFC welcomes appointment of Non-Executive Directors

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 Chan2019-03-14 18:15:072019-04-04 16:50:51Regulatory News (Mar 2019)

Regulatory News (Feb 2019)

February 15, 2019/in Regulatory News /by Tony Chan

SFC suspends CMS’s former responsible officer Wu Yinong for 18 months
Court of Appeal dismisses appeal by Andrew Left
SFC issues quarterly report
Update on the SFC’s front-loaded regulation of listing matters
Former GEM-listed group finance manager jailed for four months for insider dealing
SFC reprimands and fines Guosen Securities (HK) Brokerage Company, Limited $15.2 million for breaches of anti-money laundering regulatory requirements
SFC issues restriction notices to three brokers to freeze client accounts related to suspected market misconduct
Court dismisses judicial review application against SFC
SFC revokes W. Falcon Asset Management (Asia) Limited’s licence
New measures to update the SFC’s licensing processes

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 Chan2019-02-15 17:34:142019-03-14 17:55:53Regulatory News (Feb 2019)

Regulatory News (Jan 2019)

January 25, 2019/in Regulatory News /by Tony Chan

Joint consultation on the model for an uncertificated securities market
Market Misconduct Tribunal sanctions China AU’s former CEO and related persons for false trading
SFC and CSSF sign MoU on Luxembourg-Hong Kong Mutual Recognition of Funds
SFC reprimands and fines FWD Life Insurance Company (Bermuda) Limited $2.4 million for regulatory breaches
SFC issues restriction notices to three brokers to prohibit order placing in listed derivative warrants in client accounts linked to suspected market misconduct

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 Chan2019-01-25 17:44:392019-02-15 17:29:01Regulatory News (Jan 2019)

Regulatory News (Dec 2018)

December 11, 2018/in Regulatory News /by Tony Chan

SFC reprimands and fines Ardon Maroon Fund Management (Hong Kong) Limited $800,000 for cross trade related failures
Court orders boiler room fraudsters to compensate investors
SFC publishes review of SEHK’s performance in regulating listing matters
SFC commences proceedings in Market Misconduct Tribunal against CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
SFC and CSRC hold high-level meeting on enforcement cooperation
SFC announces agreement to enhance the exchange of information under Stock Connect
SFC concludes consultation on OTC derivatives and conduct risks
SFC bans Kong Kar Bong for 10 years
SFC suspends Chan Ho Wai and Lam Wai Kit for nine months
SFC survey finds 34% more investment products sold
SFC issues quarterly report
SFC concludes consultation on amendments to the Code on Unit Trusts and Mutual Funds
SFC reprimands and fines SFM HK Management Limited $1.5 million over naked short selling
CSRC and SFC sign MoU to enhance supervisory cooperation and exchange of information of Cross-Boundary Regulated Entities

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 Chan2018-12-11 16:55:332019-01-25 16:05:53Regulatory News (Dec 2018)

Regulatory News (Nov 2018)

November 23, 2018/in Regulatory News /by Tony Chan

SFC and CSRC hold joint training on digital forensics
SFC commences MMT proceedings against Health and Happiness (H&H) International Holdings Ltd and its Chairman for late disclosure of inside information
New speech by Ashley Alder: Speech at HKSI Institute Roundtable Luncheon
New synopsis: Speech by Brian Ho at the 12th Annual Conference of the Hong Kong Investment Funds Association
New speech by Ashley Alder – Fintech: Meeting the regulatory challenges
SFC sets out new regulatory approach for virtual assets

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 Chan2018-11-23 12:42:022018-12-11 16:44:29Regulatory News (Nov 2018)

Regulatory News (Oct 2018)

October 25, 2018/in Regulatory News /by Tony Chan

Court of Final Appeal unanimously dismisses appeal by solicitor and his sisters in fraud case involving overseas listed securities
Process Review Panel Report 2017-2018
Appointments to Takeovers-related committees
SFC concludes further consultation on the financial resources rules
SFC encourages the public to report fraud and misconduct
Court of Final Appeal allows SFC’s appeal against MMT decision on insider dealing in Asia Telemedia Limited shares
SFC concludes consultation on amendments to anti-money laundering and counter-financing of terrorism guidelines
New speech by Thomas Atkinson: Keynote speech at 2018 Refinitiv Pan Asian Regulatory Summit
New look for the SFC
New speech by Julia Leung: Keynote speech at 2018 Refinitiv Pan Asian Regulatory Summit
SFC and FCA sign MoU on United Kingdom-Hong Kong Mutual Recognition of Funds
SFC bans Lok Wai Fong for life
SFC welcomes appointment of Non-Executive Directors
SFC concludes consultation on the offline sale of complex products

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 Chan2018-10-25 11:47:512018-11-13 10:58:03Regulatory News (Oct 2018)

Regulatory News (Sep 2018)

October 4, 2018/in Regulatory News /by Tony Chan

SFC announces green finance strategic framework
SFC bans Ngo Wing Chun for 12 months
New speech by Carlson Tong: Speech at HKGCC’s Town Hall Forum Series
New speech by Ashley Alder: Speech at HKIFA luncheon
SFC reprimands and fines Huatai Financial Holdings (Hong Kong) Limited $800,000 over naked short selling
Court of Appeal orders retrial in insider dealing case
SFC welcomes appointment of Chairman
New speech by Julia Leung: Speech at Hong Kong Chinese Enterprises Association Seminar
Court of Final Appeal dismisses Moody’s appeal

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 Chan2018-10-04 12:32:362018-10-04 12:32:36Regulatory News (Sep 2018)

Page 7 of 14«‹5 678 9 ›»