SFC
Tax & Regulation | 20 Mar 13
sfc should get tough on hk life investment
The securities regulator's plan to tighten the rules on investment-linked insurance products is more an opportunity than a threat, Friends Provident International’s Hong Kong based general manager has told the South China Morning Post.
another morgan stanley asia employee
Morgan Stanley has again been chastised by Hong Kong’s City watchdog, with one of its researchers receiving a 14-month industry ban.
insurance company and director acquitted
An insurance company and one of its directors in Hong Kong have been acquitted of aiding and abetting unlicensed sales of an investment fund.
former citic pacific exec jailed for insider
A former assistant director of finance at CITIC Pacific, a Hong Kong based property and mining company, has been jailed and fined for insider dealing.
sfc begins legal proceedings against first china
Kong Kong’s Securities and Futures Commission has begun legal proceedings against former and current directors of First China Financial Network Holdings and is seeking to have the directors disqualified.