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Publications

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
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