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Publications

2021-09
SFC reprimands and fines UBS over HK$11M for multiple compliance breaches – Lessons for wealth management professionals
2021-08
Re-visiting the Court’s approach in granting a compensation order against former directors pursuant to Securities and Futures Ordinance
2021-07
Industry ban against a sponsor principal, but who is he?
2021-05
The sanction orders made by the Market Misconduct Tribunal for insider dealing
2021-04
Handling suspicious third party fund transfers
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
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