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Results 1 - 10 of 914 for independent commission against corruption

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  1. Ex-HSBC executive charged over bribe

    Posted Oct 23rd 2009, 12:00am by Clifford Lo

    ... Clifford Lo Graft-busters have charged a former senior vice-president of HSBC's commercial banking department over his alleged acceptance of a US$60,000 bribe from a Taiwanese client. Chen Ching-hsiao, 46, will face one count of accepting an advantage in Eastern Court today, the Independent Commission Against Corruption said. Chen was allegedly paid for approving ...

    http://www.scmp.com/article/696244/ex-hsbc-executive-charged-over-bribe
  2. Securities watchdog targets five listing sponsors in crackdown

    Posted Feb 14th 2006, 12:00am by Enoch Yiu

    ... to $68 million. Six people were convicted for cold calling clients to sell investment products and 23 cases were referred to the police or the Independent Commission Against Corruption ... Enoch Yiu SFC will tighten rules to ensure banks are qualified and have enough capital The Securities and Futures Commission has five sponsors in its sights as it cracks down on due ...

    http://www.scmp.com/article/536404/securities-watchdog-targets-five-listing-sponsors-crackdown
  3. EganaGoldpfeil shares plunge

    Posted Aug 09th 2007, 12:00am by Staff Reporter

    ... in the past four weeks after news that director David Wong was under investigation by the Independent Commission Against Corruption and after stock commentator David Webb questioned the company's ...

    http://www.scmp.com/article/603465/eganagoldpfeil-shares-plunge
  4. Brokers' ranks growing despite lack of minimum commissions

    Posted Aug 28th 2007, 12:00am by Enoch Yiu

    ... Enoch Yiu Predictions of doom and gloom in the brokerage industry after the abolition of minimum commissions have proved to be exaggerated, although some smaller players are gone. Our broker friends have always complained that the end of minimum commissions in 2003 would drive small brokerages to the wall and lead to massive unemployment in the industry. Official figures tell ...

    http://www.scmp.com/article/605750/brokers-ranks-growing-despite-lack-minimum-commissions
  5. SFC plans curbs on analysts

    Posted Jul 16th 2004, 12:00am by Enoch Yiu

    ... The Independent Commission Against Corruption on Monday announced it had arrested two analysts who were alleged to have accepted bribes to write favourable reports for Semtech. 'The majority ... Enoch Yiu The Securities and Futures Commission will issue a set of regulations seeking to stem conflicts of interest among analysts by the end of this year, according to executive ...

    http://www.scmp.com/article/463229/sfc-plans-curbs-analysts
  6. SHKP leaves market guessing on Plan B

    Posted Apr 10th 2012, 12:00am

    ... the city's former chief secretary, were arrested by the Independent Commission Against Corruption (ICAC). Reading from prepared statements and entertaining no questions, the Kwoks declared ... of its co-chairmen on suspicion of corruption. But global investors and industry analysts- who are baying for a Plan B on the firm's future management- say it is anything but that. Thomas ...

    http://www.scmp.com/article/997815/shkp-leaves-market-guessing-plan-b
  7. 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 ...

    http://www.scmp.com/article/998294/ilas-are-not-investments-so-commissions-are-unregulated
  8. Cost in the mists of time

    Posted Feb 27th 2012, 12:00am

    ... it would be earning commission, it failed to specify exactly how much this would be, according to court documents. The Clearwater case was closely watched by Hong Kong's independent financial ... be earning commission, and there was no evidence that the money it received was higher than was normally paid.' In January, Justice Anselmo Reyes of the Court of First Instance, found against ...

    http://www.scmp.com/article/993778/cost-mists-time
  9. Talking points

    Posted Jul 17th 2012, 12:00am

    ... New York, is expected to sentence former Morgan Stanley executive Garth Peterson, 42, who has pleaded guilty to charges under the Foreign Corrupt Practices Act over a property deal ... ethics watchdog Fifa's executive committee decides whether to accept names put forward by an independent governance committee to head a new ethics body at the Zurich-based organisation. ...

    http://www.scmp.com/article/1006993/talking-points
  10. Business - Banking & Finance - REGULATION

    SFC reforms aim to boost safeguards for investors

    Posted May 16th 2013, 12:00am by Enoch Yiu

    ... safeguards for investors The Securities and Futures Commission has released a long-awaited reform plan to tighten regulations on how financial firms sell complex risky investment products ... executive Ashley Alder said the proposed regulation was intended to keep intermediaries "honest", as the commission would require banks and brokers to add a clause in client agreements ...

    http://www.scmp.com/business/banking-finance/article/1238498/reforms-aim-boost-safeguards-investors

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