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  • April 17, 2014
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  1. Education stock rises after boss retaliates

    Posted Jul 21st 2012, 12:00am

    ... Anita Lam anita.lam@scmp.com Shares in New York-traded New Oriental Education & Technology Group rebounded after it hit back at allegations from short seller Muddy Waters that it had made fraudulent financial statements. However, fund managers said the harm had already been done, and with the group still under a US Securities and Exchange Commission investigation over its ...

  2. Risky times highlight necessity of education

    Posted Sep 30th 2008, 12:00am by Enoch Yiu

    ... keep coming. And the situation will continue unless the government revamps the investment regulatory regime and improves investor education. Traditionally, brokers have been the ones blamed ... occupied by brokers. They are now paying the price. Some legislators are calling for the end of the current model that splits regulatory roles - the Securities and Futures Commission regulates ...

  3. Investor education could save burned fingers

    Posted Sep 04th 2007, 12:00am by Enoch Yiu

    ... Enoch Yiu Another small local brokerage failed last Friday, increasing pressure on the Securities and Futures Commission to regulate the industry further. Last week's failure followed ... education. In the most recent case, police arrested a 61-year-old stock broker at Man Lung Hong Securities following allegations that he had stolen HK$20 million from 28 clients. Police said ...

  4. ILAS are not 'investments', so commissions are unregulated

    Posted Apr 16th 2012, 12:00am

    ... Commission (SFC). The job falls to the Insurance Authority, which monitors the insurance sector in partnership with industry bodies. It's kind of a self-regulating system. The SFC requires agents to disclose all income earned from the sale of an investment, such as brokerage charges or selling commissions. In other words, if an investor asks an adviser about the commission (direct ...

  5. SFC to tighten oversight of I.P.O. sponsors

    Posted Oct 29th 2011, 12:00am

    ... Enoch Yiu enoch.yiu@scmp.com Ashley Alder, the new chief executive of the Securities and Futures Commission (SFC), has pledged to tighten oversight of listing sponsors to enhance investor ... to do more on investor education,' he said. Britain is establishing a new single regulator to oversee the conduct of financial products marketers, leaving the Bank of England to regulate ...

  6. Brokers cheat insurers of $80m in commission scam

    Posted Sep 05th 2004, 12:00am by Chris Oliver, Lotte Pang

    ... Seven of Hong Kong's leading life insurance groups have been cheated out of at least $80 million in commission payments by a group of local brokers. It is believed the brokers signed long-term investment-linked insurance savings plans with the companies. After a few monthly contributions had been paid - and the commission fees received - the policies were cancelled. The scam ...

  7. SFC bans warrant commission rebates

    Posted Apr 01st 2006, 12:00am by Enoch Yiu

    ... Enoch Yiu Measures tightening controls on trading of the derivatives to take effect in June as watchdog seeks to protect investors The Securities and Futures Commission will introduce measures, including a ban on commission rebates given by issuers to brokers of derivative warrants, to avoid misleading the market. The measures to be imposed in June are among a six-point plan ...

  8. Securities official in graft probe

    Posted Apr 16th 2012, 12:00am

    ... of the China Securities Regulatory Commission (CSRC), was taken into custody by Guizhou police for questioning, according to two people briefed by the regulatory officials about the investigations. ... Science & Technology secure an IPO approval in 2002. Wu, in his late 40s, was a division chief at the CSRC's department of personnel and education before he was promoted to deputy head ...

  9. Ignore migrants at nation's peril, say experts

    Posted Aug 08th 2012, 12:00am

    ... which cited a report by the National Population and Family Planning Commission. Their average age is 28, and 45 per cent were born after 1980. The report said the average monthly pay ... 'Policies for housing, social security and especially education should factor in the vast population of migrants or it will be unfavourable to social stability,' Liu said. The report said less ...

  10. Business - Comment - WHITE COLLAR

    Investors fail to read prospectuses

    Posted Aug 28th 2012, 12:00am by Enoch Yiu

    ... HK$1.03 billion it raised in its 2009 initial public offering. This came after the Securities and Futures Commission ordered Hontex in March 2010 to be suspended from trading after alleging its ... these conversations, we have learned that many retail investors still rely on analysts or regulators instead of making their own judgments about whether to invest in a company. More investor education ...




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