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SFC

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Hong Kong SFC Issues Guidance On Corporate Transactions And The Use Of Valuations

18 May/2017 | regulations Hong kong SFC

The Securities and Futures Commission (SFC) on May, 15th issued a guidance note on directors’ duties and a circular to financial advisers regarding valuations in corporate transactions together with a statement on the...

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SFC Reprimands And Fines Promising Securities Company Limited $3.5 Million

The Securities and Futures Commission (SFC) has reprimanded and fined Promising Securities Company Limited (Promising) $3.5 million for breach of the Code of Conduct and the Management, Supervision and Internal Contro...

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Court Of Appeal Dismisses SFC’s Appeal Against MMT Decision

04 May/2017 | Hong kong SFC MMT ATML

The Court of Appeal has dismissed an appeal by the Securities and Futures Commission (SFC) against the Market Misconduct Tribunal’s (MMT) findings that two former executives of Asia Telemedia Limited (ATML) (now known...

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What The Market Wants SFC Chief Ashley Alder To Do Now That He’s In The Job For Another Three Years

27 April/2017 | Hong kong SFC Market Ashley Alder

With Ashley Alder being reappointed as chief executive of the Securities and Futures Commission for the next three years, the market has handed him a wish list ranging from promoting more new listings to developing fi...

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SFC Bans Daniel Chen Chi Lik For Life

27 April/2017 | Hong kong SFC BOCHK

The Securities and Futures Commission (SFC) has banned Mr Daniel Chen Chi Lik, a former staff of Bank of China (Hong Kong) Limited (BOCHK), from re-entering the industry for life following his conviction for theft by ...

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