Regulatory Compliance

Newsletters & Updates

2021-03	Alarming increase in ramp and dump scheme: How has it been tackled so far?
2021-02	Disqualification orders against senior executives for unauthorised transfer of funds
2021-01	What can I do when my trading account is frozen due to the SFC’s Restriction Notice?
2020-12	How to minimize penalty by cooperating with the SFC: An explanation of the Carecraft Procedure
2020-11	SFC fines Goldman Sachs Asia US$350 million over 1MDB’s bond offerings
2020-10	The obligation to self-report non-compliance
2020-09	SFC seeks restoration orders against company and director for misleading prospectus
2020-08	CFA dismissing the appeal of the “reckless” short seller
2020-07	The impact of trading suspension on disclosure of price-sensitive information
2020-06	When is it appropriate for the Court to grant a compensation order against the director?
2020-05	Internal control: Is the company’s senior management being effectively “controlled” by (independent) non-executive directors?
2020-04	Transactions under negotiations – at what stage should directors disclose inside information?
2020-03	Easing the sanctions of the SFC
2020-02	Seizing personal digital devices and demanding passwords: To what extent is the SFC entitled to do so?
2020-01	How does the Court determine the length of a disqualification order against a director under section 214 of the SFO?
2019-12	SFC reprimands and fines UBS HK$400 million for overcharging clients
2019-11	Market Misconduct Tribunal fines Fujikon Industrial Holdings Limited and orders its CEO and CFO to complete training programs for failure to disclose inside information in a timely manner
2019-10	SFC reprimands and fines Celestial Commodities Limited and Celestial Securities Limited $6.3 million for mishandling client money
2019-09	How does the Court assess whether to grant a disqualification order against a director under s. 214 of the Securities and Futures Ordinance?
2019-08	SFAT dismissed FT Securities Limited’s appeal against SFC’s disciplinary penalty on regulatory breaches concerning research reports
2019-07	The SFC sought restorative order for the benefit of investors
2019-06	Variation of a Mareva injunction may not override legitimate interests of third parties
2019-05	CFA clarifies the proper approach for interpreting “Red Flag” Reports
2019-04	The SFC’s most severe disciplinary actions taken against sponsors
2019-03	A US short-seller was held liable by the CA for disseminating a false online research report about a Hong Kong listed company
2019-02	The CFI reaffirms the SFC’s statutory power to compel information and exchange intelligence with overseas regulators
2019-01	Court orders boiler room fraudsters to compensate investors
2018-12	Judicial review against the SFC’s decision in relation to statutory investigation
2018-11	The CFA clarifies the ambit of the innocent purpose defence against allegation of insider dealing
2018-10	The Court of Appeal clarifies the nature and standard of proof of Market Misconduct Tribunal proceedings
2018-09	Consultation Paper on the Proposed Guidelines for Securities Margin Financing Activities
2018-08	SFC reprimands and fines HSBC Broking Securities (Asia) Limited $9.6 million for regulatory breaches over bond sale
2018-07	SFC fines CCB International Capital for failing to perform due diligence as sponsor
2018-06	Failing to comply with due diligence and know-your-client requirements
2018-04	Highlights of the Guidelines on Online Distribution and Advisory Platforms and further consultation
2018-03	SFC’s response to initial coin offerings in Hong Kong
2018-01	No right to silence nor automatic privilege against self-incrimination during interview with the SFC
2017-12	Court endorsing SFC’s power to collect evidence to assist CSRC
2017-10	When You Have a Non-Human Investment Advisor…
2017-09	Initial Coin Offerings – A Matter for the SFC?
2017-08	Delisting “Shell” Companies in the Main Board
2017-07	Do “Red Flag” Reports Constitute Credit Rating?
2017-06	The Role of Company Secretaries and Directors in Anti-Money Laundering Compliance
2017-05	Did CITIC Suffer Any “Material Adverse Change”?
2017-04	Suspicious But Innocent: No Insider Dealing in the Shares of China Gas Holdings Limited
2017-03	SFC Reprimanded a Sponsor in an IPO
2017-02	How to Determine the Offer Price of “Further” Issued Shares?
2017-01	Short Sellers’ Attacks on Listed Companies: Are They Immune to Risks?
2017-01	How to Deal with the Regulatory Three “C”s Dawn Raids?
2016-12	A Double Whammy for Suspected Offenders of Securities Regulations
2016-11	How Late is Too Late?
2016-10	Defending “Insider Dealing”
2016-09	The Bank’s Duty of Care in Selling Financial Products to Retail Customers
2016-09	Publication of Information Culpable of Market Misconduct?
2016-08	Disqualification Orders under the Securities and Futures Ordinance
2016-07	Disclosure Obligations Under the Takeovers Code Are “Intentionally Onerous”
2016-06	Acquiring Shares After the Restriction Period
2016-05	“Panama Papers” – How the Leakage Clings on Banks’ Client Due Diligence Check
2016-04	Unlicenced Dealings under the Securities and Futures Ordinance
2016-03	Failure to Disclose Inside Information in a Timely Manner May Lead to Prosecution in the Market Misconduct Tribunal
2016-02	Breaches of Takeovers Code
2016-01	Internal Control: Short Selling, Facilitation Trading and Dark Liquidity Pool Trading
2015-12	SFO Amended to Give HKEx Power to Permit Onward Disclosure
2015-11	New Regulatory Regime for Stored Value Facilities
2015-10	Reporting on Misconduct - How Soon Must a Licensed Entity Report to the SFC on Suspected Misconduct?
2015-09	Can a Person Deny Being Investigated By the SFC?
2015-08	Concurrent Proceedings - Can One Stay the SFC Disciplinary Proceedings?
2015-07	Suspension Order Against Hanergy
2015-06	Disqualification Orders Against Directors of Listed Companies
2015-04	Advertising the Collective Investment Scheme
2015-03	Winding Up a Listed Company by the SFC
2015-02	"One Share Per Person to Save ATV"? "Investors" Beware!
2015-01	What To Do When Required to Attend an Interview at the SFC
2014-12	Recording Orders for Discretionary Accounts