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  • September 23, 2014
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  1. Hontex challenges SFC case for IPO refund

    Posted Jun 05th 2012, 12:00am

    ... Harris said he would rule this week on whether it was appropriate for him to hear the case and to what standard the SFC must prove its allegations. In a ruling in July last year, Harris said ...

  2. Placements- a capital idea or just another case of shares for the big boys?

    Posted Nov 28th 2011, 12:00am

    ... Khor Un Hun moneypost@scmp.com Placings or block trades are a popular way for listed companies to raise equity from the markets. Commonly done overnight, these large share sales can quickly raise a lot of money for a firm. During the 2008-09 credit crisis ...

  3. Real Gold case exposes all-too-common lapses in corporate governance

    Posted Sep 05th 2011, 12:00am

    ... Khor Un Hun moneypost@scmp.com The case of Real Gold shows how easily governance rules can be sidestepped in Hong Kong, which too often leads to a lousy outcome for investors. Real Gold has acknowledged a series of corporate governance lapses and is being investigated by the Securities and Futures Commission. It has been in the news for all the wrong reasons. The South China ...

  4. Another case of the SFC jumping on the little guy

    Posted Mar 29th 2011, 12:00am by Jake Van Der Kamp

    ... with Jake van der Kamp The court found that between August 27, 2009 and September 2, 2009, [Yu Yau Ki] placed a series of buy and sell orders in relation to the shares of WLS Holdings Limited in a joint account with his wife. Almost all these transactions ...

  5. CSRC crackdown exposes 66 cases of securities offences

    Posted Nov 10th 2008, 12:00am by Staff Reporter

    ... Frederick Yeung The China Securities Regulatory Commission imposed fines and other penalties in connection with 66 cases of illegal securities trade in the first nine months of the year. The stock market regulator launched investigations into 93 cases of illegal market activities in the period, including insider trading, market manipulation and violation of information disclosure ...

  6. Court sends Sanyuan case to HKEx panel

    Posted Jun 06th 2008, 12:00am by Staff Reporter

    ... on Wednesday ordered the decision by the listing appeal committee quashed and remitted the case to a newly constituted listing appeal committee for reconsideration. The court said the HKEx committees ...

  7. Case put for HDRs doesn't make sense

    Posted May 12th 2008, 12:00am by Jake Van Der Kamp

    ... with Jake van der Kamp 'In its latest bid to enhance its international profile, Hong Kong Exchanges and Clearing (HKEx) will allow foreign firms to begin listing in the city via depositary receipts within weeks.' SCMP, May 9 I still remember my ...

  8. Business - Banking & Finance - SECURITY

    Xi Jinping's security commission to also tackle financial industry

    Posted Jan 28th 2014, 04:30am by George Chen, Teddy Ng

    ... banking system, rocking the stock market and affecting local investors' confidence in the mainland's economic development. Another case involved the virtual currency bitcoin, in which ...

  9. China Life case shows disparity in policies

    Posted May 01st 2007, 12:00am by Enoch Yiu

    ... Enoch Yiu The different suspension times of China Life Insurance's shares last Monday is the most recent case highlighting the disparity of regulatory policies between the Hong Kong and Shanghai markets towards media reports, market rumours and share suspension. According to the Shanghai Securities News, which cited an unnamed source in the Shanghai Stock Exchange, an exchange ...

  10. Business - Money - INVESTOR PROTECTION

    How to prevent getting wiped out by a rights offer

    Posted Apr 15th 2013, 12:00am by Jasper Moiseiwitsch

    ... investors need to be sufficiently alert to what is going on with their stocks to know whether a rights offer is under way, in which case they can either subscribe to their rights or sell ... and it trades below the rights price, making the rights worthless. But that's an extreme scenario. In most cases investors do best if they take their rights and wait for the stock to recover. ...




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