SFC
hong kong brokers conviction
A court in Hong Kong has overturned a brokers conviction for market manipulation.
new antimoney laundering guidelines
A new set of guidelines on anti-money laundering and counter-terrorist financing has been published by the Securities and Futures Commission in Hong Kong.
hk regulator disciplines brokers
The Securities and Futures Commission has fined a former broker at Fulbright Securities Limited HK$50,000, and suspended the licence of a CITIC Securities Brokerage supervisor.
People Moves | 8 Nov 11
martin wheatley elected to esma management board
The European Securities and Markets Authority has elected Martin Wheatley, a senior figure at the UKs Financial Services Authority, to its management board.
fidelity criticised for breaching takeover code
Fidelity Worldwide Investment has been publicly criticised by the Hong Kong regulator for failing to disclose a large position it held in Little Sheep, a company which was subject to a takeover.