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Publications

2022-03
The Court’s powers to make restorative orders in insider dealing
2022-02
SFC reprimands and fines Citigroup HK$348M for defective client facilitation
2022-01
Regulating SVF to prevent money laundering and terrorist financing
2021-12
Tippees’ liability in insider dealing
2021-11
Post-China Forestry and Tianhe era – SFC’s front-loaded regulation and reforms to tackle sponsor failures
2021-10
The Court’s reluctance in interfering with HKEX’s decisions to suspend listed issuer trading of shares – GEM Board Listing Rule 17.26
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
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