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1. News - World - FRAUD

   SEC sues Chinese video firm Subaye for fraud

   Posted May 10th 2013, 12:00am by BLOOM

   ... News World Us Securities and Exchange Commission Fraud Advertising Guangzhou Bloomberg in New York US financial regulator dismisses company's offer of settlement to press ahead with legal case against 'imaginary business' in Guangzhou The US Securities and Exchange Commission (SEC) is suing Chinese video-advertising and entertainment company Subaye for fraud, ...

   http://www.scmp.com/news/world/article/1233999/sec-sues-chinese-video-firm-subaye-fraud
2. PCCW files affidavit over buyout deal

   Posted Mar 25th 2009, 12:00am by Staff Reporter

   ... by the Securities and Futures Commission regarding vote-rigging complaints over the privatisation deal. The High Court judge earlier said the SFC and the public could submit their opinions ...

   http://beta.scmp.com/article/674544/pccw-files-affidavit-over-buyout-deal
3. Sanctions loom in Lehman investigation

   Posted May 09th 2009, 12:00am by Staff Reporter

   ... an authority spokesman said. An institution could have its registration revoked or suspended by the Securities and Futures Commission, be subject to a reprimand, a fine or a prohibition order. ...

   http://www.scmp.com/article/679611/sanctions-loom-lehman-investigation
4. Former regulator talks up Shanghai market

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

   ... U.S. Securities and Exchange Commission Daniel Ren in Shanghai A former securities regulator said the country's 20 trillion yuan (HK$22.6 trillion) household savings could be a stabilising force for the battered stock market. Zhou Daojiong, the China Securities Regulatory Commission's chairman between 1995 and 1997, told a seminar in Shaanxi province that cash was still ...

   http://www.scmp.com/article/659064/former-regulator-talks-shanghai-market
5. Brokers to take certification exams

   Posted Aug 28th 2008, 12:00am by Staff Reporter

   ... U.S. Securities and Exchange Commission Daniel Ren in Shanghai China will ban uncertified brokers from attracting clients for securities firms, a decision likely to expel thousands of employees from the industry, according to Shanghai Securities News. The China Securities Regulatory Commission has drafted a rule for the brokerage industry, under which individual dealers have ...

   http://www.scmp.com/article/650502/brokers-take-certification-exams
6. Insurance firm seeks quality over quantity when recruiting new employees

   Posted Jul 25th 2008, 12:00am by Ana Wang

   ... U.S. Securities and Exchange Commission Ana Wang Quality, customer-oriented professionals form the backbone of the insurance industry, and Zurich sees hiring and training top-notch professional staff as an essential element for its business development. 'We always need people and we are constantly looking for talent,' said Denny Chan, director of life business, Zurich ...

   http://www.scmp.com/article/646436/insurance-firm-seeks-quality-over-quantity-when-recruiting-new-employees
7. Comment - Letters

   Hong Kong faces onslaught of financial fraud

   Posted Dec 20th 2012, 12:00am by LETTERS

   ... Securities and Futures Commission has taken an identical position to that of the SEC in its proceedings in the Court of First Instance against Ernst & Young Hong Kong over the refusal of Ernst ... of NASDAQ and other exchanges with the complicity of US accounting firms, clearing firms, listing authorities and regulators. Widespread corrupted practices in the US precipitating global financial ...

   http://www.scmp.com/comment/letters/article/1108533/hong-kong-faces-onslaught-financial-fraud
8. 100 firms apply to list on Shenzhen's second board

   Posted Jul 27th 2009, 12:00am by Carol Chan

   ... Shenzhen U.S. Securities and Exchange Commission Carol Chan More than 100 companies submitted applications yesterday to float shares on the long-awaited Nasdaq-style second board in Shenzhen. The China Securities Regulatory Commission began receiving the applications at its headquarters in Beijing yesterday morning for the technology-oriented Growth Enterprise Market ...

   http://www.scmp.com/article/688015/100-firms-apply-list-shenzhens-second-board
9. Withholding of details hits minibond inquiries

   Posted Apr 03rd 2009, 12:00am by Paggie Leung

   ... to the Securities and Futures Commission yesterday. A total of 418 complaints involving 16 banks have been referred since October to the SFC, which will decide whether to take further action. Up ...

   http://www.scmp.com/article/675594/withholding-details-hits-minibond-inquiries
10. Brokers reap year-end windfall

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

    ... to a Securities and Futures Commission survey. The survey shows that in the third quarter, profits of all local brokers dropped by 37 per cent from the previous quarter to HK$2.27 billion. The top 14 ...

    http://www.scmp.com/article/577389/brokers-reap-year-end-windfall

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