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  1. Business - Banking & Finance - REGULATION

    SFC pushes for tighter rules on IPO sponsors

    Posted Dec 13th 2012, 12:00am by Enoch Yiu

    ... Enoch Yiu enoch.yiu@scmp.com Regulator will call on government to change law to make backers criminally liable for approving listing prospectuses with false information SFC pushes for tighter rules on I.P.O. sponsors The Securities and Futures Commission will propose making errant sponsors of initial public offerings criminally liable from October next year. "The changes, ...

    http://www.scmp.com/business/banking-finance/article/1103907/sfc-pushes-tighter-rules-ipo-sponsors
  2. Lawmakers lead protest against accumulators, saying investors misled over high risk

    Posted Apr 19th 2008, 12:00am by Enoch Yiu

    ... Enoch Yiu The Democratic Alliance for the Betterment and Progress of Hong Kong led a group of eight investors to the Hong Kong Monetary Authority office yesterday in a protest, saying they had been misled by their bankers into buying high-risk accumulators, which cost them millions of dollars in a falling market. The HKMA confirmed it had received 12 customer complaints, while ...

    http://www.scmp.com/article/634334/lawmakers-lead-protest-against-accumulators-saying-investors-misled-over-high-risk
  3. Accumulator woes must be ironed out for investors' sake

    Posted Apr 15th 2008, 12:00am by Enoch Yiu

    ... Enoch Yiu Complaints over a derivative product known as an 'accumulator' are raising the question of whether the current system of letting the Hong Kong Monetary Authority instead of the Securities and Futures Commission oversee the investment division of lenders should continue. Popular in the past few years with high net-worth individuals, they are a structured ...

    http://www.scmp.com/article/633783/accumulator-woes-must-be-ironed-out-investors-sake
  4. Markets focus money man on mainland

    Posted Oct 15th 2007, 12:00am by Enoch Yiu

    ... Enoch Yiu Eddy Fong is the first SFC non-executive chairman When Eddy Fong Ching retired after three decades as an accountant, playing golf and going on cruises were the last things on his mind. The former PricewaterhouseCoopers partner was keen to throw himself back into the corporate fray and a year ago was appointed the first non-executive chairman of the Securities and Futures ...

    http://www.scmp.com/article/611596/markets-focus-money-man-mainland
  5. Business - Companies - WHITE COLLAR

    Big chunk of compensation to Gome could end up back in Wongs' pocket

    Posted Mar 24th 2014, 11:10am by Enoch Yiu

    ... Enoch Yiu Of the HK$420m penalty, HK$150m might end up back in couple's pockets via special dividend Wongs could get back big chunk of Gome compensation It might seem that the HK$420 ... shareholders' approval. But few would expect them to say no to a large sum of money, so an approval is likely. enoch.yiu@scmp.com ...

    http://www.scmp.com/business/companies/article/1456040/big-chunk-compensation-gome-could-end-back-wongs-pocket
  6. Business - Companies - WHITE COLLAR

    SFC can afford to post reward for information on 8 missing executives

    Posted Mar 17th 2014, 11:39am by Enoch Yiu

    ... Enoch Yiu SFC is flush enough to offer money for details on eight fugitives sought for probes, brokers say Puzzle over wanted executives could be solved by rewards Our securities regulator ... a new team to conduct corporate investigations. enoch.yiu@scmp.com ...

    http://www.scmp.com/business/companies/article/1450637/sfc-can-afford-post-reward-information-8-missing-executives
  7. News - Hong Kong - CRIME

    Investigators in turf war over HKMEx investigation

    Posted May 29th 2013, 12:00am by Niall Fraser, Enoch Yiu and Olga Wong

    ... Niall Fraser, Enoch Yiu and Olga Wong Police believe watchdog should 'back off' to avoid any conflict of interest in investigating the commodities-trading platform's collapse investigators clash over HKMEx probe Police probing the collapse of the Hong Kong Mercantile Exchange (HKMEx) are concerned that their criminal investigation could be hampered ...

    http://www.scmp.com/news/hong-kong/article/1248500/investigators-turf-war-over-hkmex-investigation
  8. SFC may toughen regulation of analysts

    Posted Nov 26th 2003, 12:00am by Enoch Yiu

    ... The Securities and Futures Commission (SFC) may tighten the regulation of stock-market analysts after two separate surveys found investors and securities firms were dissatisfied with the way research writers disclosed their conflicts of interest. The surv ...

    http://www.scmp.com/article/435924/sfc-may-toughen-regulation-analysts
  9. New regulatory agency floated as compromise

    Posted Oct 04th 2003, 12:00am by Enoch Yiu

    ... A body independent of the HKEx and SFC is among ideas for reforms A new body to take over front-line regulation of listed companies from Hong Kong Exchanges and Clearing (HKEx) was one of the ideas put forward yesterday by a government consultation paper ...

    http://www.scmp.com/article/429948/new-regulatory-agency-floated-compromise
  10. SFC reminds brokers of two-day rule

    Posted Oct 04th 2003, 12:00am by Enoch Yiu

    ... Brokers should strictly enforce the two-day settlement of stock trades, the securities watchdog warned yesterday, after discovering some houses were allowing clients up to eight days to pay for their transactions. The comments came a day after Yicko Futur ...

    http://www.scmp.com/article/429951/sfc-reminds-brokers-two-day-rule

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