Press Releases - 2010
Year
There are totally 107 press releases.
Date News
09 Sep 2010 SFC bans Jugurtha Harchaoui for life
09 Sep 2010 Demands of SFC's enforcement work on the rise
07 Sep 2010 Court orders Hontex to respond to SFC's allegations within two weeks
01 Sep 2010 SFC suspends Tony Fung King Tong for six months
31 Aug 2010 SFC and Chan Hon Man resolve on disciplinary action
31 Aug 2010 Dr Wise: Gifts to promote investment no longer allowed
27 Aug 2010 SFC reprimands and fines Ko's Brother Securities $250,000
26 Aug 2010 SFC implements new investor protection measures
26 Aug 2010 Chung Nam Securities and responsible officers reprimanded and fined $1.3 million for non-compliance in handling PCCW trades
23 Aug 2010 High Court rules SFC disciplinary process fair
19 Aug 2010 SFC to seek review of insider dealing sentence
17 Aug 2010 Court of Appeal dismisses appeal in Asia Standard Hotel market manipulation case
16 Aug 2010 Number of SFC licensees reaches record high
10 Aug 2010 Former investment consultant suspended for introducing non-SFC authorised fund to clients
10 Aug 2010 Products Advisory Committee established
06 Aug 2010 SFC authorizes first renminbi-denominated fund
05 Aug 2010 Takeover insider convicted of insider dealing
02 Aug 2010 SFC resolves compliance issues with Hantec International Limited and Hantec Investment Consultant Limited
27 Jul 2010 Fund management industry records strong growth in 2009
27 Jul 2010 Dr Wise: Not all exchange-traded funds track market performance directly
26 Jul 2010 Regulators see deterioration in standard of listing application documents
20 Jul 2010 Glamour House and its sole director criticised for breach of SFC's Takeovers Code
19 Jul 2010 SFC seeks market comments on proposed regulatory regime for credit rating agencies
19 Jul 2010 Former bank employee banned five years for forging signatures
19 Jul 2010 Helping the public understand new investor protection measures
16 Jul 2010 Retail investor sentenced for false trading
16 Jul 2010 SFC welcomes the re-appointment of Mrs Angelina Lee as Non-Executive Director
14 Jul 2010 SFC, HKMA and DBS Bank (Hong Kong) reach agreement on Lehman Brothers- related Constellation Notes
13 Jul 2010 High Court upholds conviction of unlicensed leveraged foreign exchange trader
08 Jul 2010 Licensed representative fined $54,000 for illegal short selling
05 Jul 2010 SFC bans and fines Ricky Kwan Po Kit
05 Jul 2010 SFAT affirms SFC decision to suspend Godwin Chu Kwok Shing for trading malpractice
05 Jul 2010 SFC bans Sik Siu Kwan
02 Jul 2010 SFC suspends Peter Tam Man Chuen
29 Jun 2010 Dr Wise explains new regulatory measures protecting investor interests
28 Jun 2010 SFC resolves compliance concerns with Julius Baer (Hong Kong) Ltd
25 Jun 2010 SFC handbook of product codes gazetted
25 Jun 2010 Post-vetting requirement of certain takeovers-related matters takes effect today
25 Jun 2010 SFC applies takeover-and-merger framework to REITs immediately and seeks to strengthen market conduct regulation of listed CISs
23 Jun 2010 SFC takes balanced approach to regulatory reform
21 Jun 2010 Survey shows majority of industry participants approve of SFC's work
17 Jun 2010 SFC reprimands and fines Christfund and responsible officers $2.5 million for internal control deficiencies in handling Mainland clients' accounts
10 Jun 2010 Takeovers Panel member steps down
09 Jun 2010 Former Sun Hung Kai account executive given community services order for market manipulation
08 Jun 2010 SFC comments on developments in index funds
02 Jun 2010 SFC reprimands and fines three UBS employees $1.8 million
31 May 2010 Suspended jail term for false trading
31 May 2010 SFC fines two Merrill Lynch entities $3.5 million for systems and controls failings
28 May 2010 SFC adopts measures to enhance investor protection
27 May 2010 Former Sun Hung Kai's account executive convicted of market manipulation
26 May 2010 Court of Appeal upholds SFAT's ruling on SFC's disciplinary action against former Hantec responsible officers
25 May 2010 Dr Wise: Look before you take up your rights in a rights issue
24 May 2010 Takeovers Panel upheld ruling that offers for Zhongyu Gas Holdings Limited must proceed
18 May 2010 SFC prohibits Hu Junbo from re-entering the industry
13 May 2010 Traders jailed in the first indictable prosecution of derivative warrants manipulation
13 May 2010 Suspended jail term for derivative warrant manipulation
13 May 2010 SFC suspends Mak Kan Long
11 May 2010 Former licensee convicted of misleading SFC
10 May 2010 High Court upholds conviction of unlicensed leveraged foreign exchange trader
07 May 2010 Two warrant traders convicted of market manipulation
06 May 2010 SFC suspends Chan Chung Yuen for six months
28 Apr 2010 SFC debuts TV drama
27 Apr 2010 Dr Wise: Know how to check out an intermediary's legitimacy
26 Apr 2010 SFC seeks trading ban against Tiger Asia over alleged insider trading
22 Apr 2010 Retail investor fined for market manipulation
22 Apr 2010 SFC implements proposals to enhance regulation of retail structured products
21 Apr 2010 SFC proposes takeovers-related amendments
19 Apr 2010 Investor fined $30,000 for illegal short selling
19 Apr 2010 Recent enforcement actions see breakthrough in investor protection
08 Apr 2010 Court continues interim injunction to freeze assets of Hontex
01 Apr 2010 SFC bans Steve Luk Ka Cheung for life
01 Apr 2010 Online payment brings intermediaries more process efficiency
31 Mar 2010 Appointments to SFC committees
31 Mar 2010 SFC reprimands and fines Tsun Chi Yuen Securities, suspends Alfred Tsun Chi Shing
30 Mar 2010 Dr Wise: Watch out for multiple factors affecting warrants
29 Mar 2010 Consultation begins on draft guidelines on disclosure of inside information
24 Mar 2010 SFC bans Ryan Fong Yen-hwung for life
23 Mar 2010 SFC suspends Asser Li Kwok Keung
19 Mar 2010 SFC supports international standards for sound compensation practices
18 Mar 2010 SFC obtains court order to direct listed company to commence proceedings against former directors
17 Mar 2010 First director disqualification over timely disclosure of information
17 Mar 2010 SFC suspends Mak Chi Leung for short selling breaches
16 Mar 2010 SFC bans Emily Hui Chui Yiu from re-entering the industry
09 Mar 2010 SFAT affirms SFC's decision to ban Hung Chi Wah for life
02 Mar 2010 SFC to adopt new short-position reporting regime
26 Feb 2010 SFC quarterly report highlights period of significant regulatory activity
25 Feb 2010 SFC fines Fukoku $2 million and suspends its responsible officer
24 Feb 2010 SFC supports government budget measures
23 Feb 2010 Dr Wise: Be smart, your money matters
11 Feb 2010 Constructive response to SFC's investor protection proposals
09 Feb 2010 Two convicted of failing to answer questions during SFC investigation
06 Feb 2010 Financial quiz highlights investment risks
05 Feb 2010 SFC suspends Ho Ying
04 Feb 2010 Arrest warrant issued in market manipulation and fraud case
01 Feb 2010 SFC to appeal acquittal of a futures trader
01 Feb 2010 SFC suspends Yeung Ching Kwong for nine months
28 Jan 2010 SFC bans Edmond Chau Chin Hung for life
26 Jan 2010 Dr Wise: Leveraged foreign exchange trading is no simple matter
20 Jan 2010 Futures trader acquitted of price rigging charges
20 Jan 2010 Hong Kong stands to benefit from RMB internationalisation
19 Jan 2010 Retail investor sentenced for derivative warrant manipulation
14 Jan 2010 SFC bans Chau Sik Ki for life
13 Jan 2010 SFC reaches agreement with Karl Thomson Investment Consultants Ltd concerning sale of Lehman Brothers Minibonds
12 Jan 2010 Chief Operating Officer to leave SFC
08 Jan 2010 SFC proposes to apply takeover-and-merger framework to REITs and strengthen market conduct regulation of listed CISs
05 Jan 2010 Retail investor pleads guilty to derivative warrant manipulation
05 Jan 2010 SFC bans Lee Man Shun for seven months
Notes:
1. The names of certain individuals in this press release have been masked because they satisfy the criteria set out under the Rehabilitation of Offenders Ordinance.
Page last updated: 9 September 2010