Futures | Commodities | Forex
Hong Kong SFC and MA sidestep G-20 deadline
Posted by Elan Mendel on Oct 18, 2011 Posted by Elan Mendel on Oct 18, 2011 in CFTC, Featured, Hong Kong SFC, New Rules, Social Media | 0 comments
Hong Kong’s twin financial regulators, the Securities and Futures Commission (“SFC”) and the Monetary Authority (“MA”) , have refused to commit to finalizing over-the-counter derivatives reform by the G-20 deadline at the end of next year. In a joint consultation regarding...Transition in turmoil at the Hong Kong SFC
Posted by Elan Mendel on Jun 9, 2011 Posted by Elan Mendel on Jun 9, 2011 in Featured, Hong Kong SFC | 0 comments
The Hong Kong Securities and Futures Commission (SFC) missed its deadline to appoint a new chief executive before its current leader, Martin Wheatley, moves on to a regulatory post in his native United Kingdom. SFC deputy chief Alexa Lam has been named interim CEO, and there has been no word from the...Hong Kong SFC shows deficiencies in work of IPO sponsors
Posted by Elan Mendel on Apr 5, 2011 Posted by Elan Mendel on Apr 5, 2011 in Hong Kong SFC | 0 comments
In its Report on Sponsor Theme Inspection Findings released this week, the Hong Kong Securities and Futures Commission (SFC) notes shortcomings in the work of some licensed corporations sponsoring initial public offerings (IPOs). The SFC has conducted an inspection on sponsors so as to assess the level of...Citi Launches CitiFX Pro Trading Platform in UK
Posted by Elan Mendel on Mar 29, 2011 Posted by Elan Mendel on Mar 29, 2011 in Hong Kong SFC, Social Media, U.K. FSA | 0 comments
Citi has launched CitiFX Pro, its online foreign exchange trading platform for experienced individual and small institutional traders, in the United Kingdom. Following successful launches in the US, Hong Kong and elsewhere in Asia, CitiFX Pro is now available to UK traders who qualify as “professional...Hong Kong-based retail trader acquitted of market manipulation
Posted by Felix Shipkevich on Mar 28, 2011 Posted by Felix Shipkevich on Mar 28, 2011 in Hong Kong SFC, Uncategorized | 0 comments
The Eastern Magistracy today acquitted a retail trader, Mr Liang Lin, of one offence for false trading following a trial. The Securities and Futures Commission alleged that Liang intended to manipulate the price of shares in Cardlink Technology Group Limited (Cardlink). The Court heard that Liang, a...SEO of the SFC pushes regulators and market participants to work together
Posted by Felix Shipkevich on Mar 23, 2011 Posted by Felix Shipkevich on Mar 23, 2011 in Hong Kong SFC | 0 comments
Regulators and market participants should work together to identify appropriate solution to new regulatory issues accompanied by increasing competition in global markets, the Chief Executive Officer of the Securities and Futures Commission (SFC), Mr Martin Wheatley said. Speaking today at TradeTech Hong Kong...SFC seeks disqualification orders against former senior executives of Sunlink International Holdings
Posted by Elan Mendel on Jan 25, 2011 Posted by Elan Mendel on Jan 25, 2011 in Hong Kong SFC, SEC, Social Media | 0 comments
The Securities and Futures Commission (SFC) has commenced proceedings in the High Court, seeking orders to disqualify Mr. Andy Wong Shu Wing, a former chairman and executive director of Sunlink International Holdings Ltd (Sunlink) and Mr. Lee Chak To, a former chief financial officer of Sunlink as company...Courts Continue Support For SFC’s Enforcement of Insider Dealing Rules
Posted by Elan Mendel on Jan 25, 2011 Posted by Elan Mendel on Jan 25, 2011 in Hong Kong SFC, SEC, Social Media | 0 comments
The latest edition of the Enforcement Reporter, the official publication of Securities and Futures Commission (SFC), reports that the agency has successfully obtained further orders from the High Court to disqualify three company directors showing that directors who breach their obligations, commit...Some SFC Committee Membership Ended
Posted by Felix Shipkevich on Jan 13, 2011 Posted by Felix Shipkevich on Jan 13, 2011 in Hong Kong SFC | 0 comments
The Securities and Futures Commission (SFC) would like to thank former members of SFC Committees for their valuable contribution. They are: Disciplinary Chair Committee * Mr Anderson Chow Ka-ming, SC Investor Compensation Fund Committee * Mr Kenneth Kwok Hing-wai, SC Nominations Committee * Mr Kenneth Kwok...Investment Fund promoter Convicted of Issuing Unauthorized Marketing Material
Posted by Elan Mendel on Jan 6, 2011 Posted by Elan Mendel on Jan 6, 2011 in Hong Kong SFC, SEC | 0 comments
The Eastern Magistrates Court of Hong Kong has convicted Investment fund promoter, Ms Kwok Sau Ping, for issuing documents in relation to a collective investment scheme without the authorization of the Securities and Futures Commission (SFC) and not disclosing interests in listed securities on time. Acting...
