Search results

1. Business - Companies

   SFC unveils tough new regulation for IPO sponsors

   Posted Dec 12th 2012, 06:02pm by Reuters in Hong Kong

   ... Business Companies SFC Reuters in Hong Kong Banks preparing companies for listing on Hong Kong’s stock exchange will be made explicitly liable for IPO prospectuses, although they will also have more powers to ensure that their clients play by the rules, under proposals released by the city’s market watchdog on Wednesday. The Securities and Futures Commission’s (SFC) new rules ...

   http://www.scmp.com/business/companies/article/1103749/sfc-unveils-tough-new-regulation-ipo-sponsors
2. Business - Banking & Finance - REGULATION

   Ex-Deutsche Securities trader wins appeal against SFC

   Posted May 22nd 2013, 12:00am by Enoch Yiu

   ... 2009. In explaining its decision, tribunal chairman Mr Justice Michael Hartmann said "it is important to recognise that, when the SFC came to make its final decision, it fully accepted ...

   http://www.scmp.com/business/banking-finance/article/1243095/trader-wins-appeal-against-sfc
3. Business - Companies - COURTS

   SFC scores victory over Tiger Asia in landmark ruling

   Posted May 01st 2013, 12:00am by Enoch Yiu

   ... the insider trades. But it challenged Hong Kong's Securities and Futures Commission's right to pursue it for the offence even though the trades were carried out in the city. The SFC had ...

   http://www.scmp.com/business/companies/article/1227114/sfc-scores-victory-over-tiger-asia
4. Business - Money - REGULATION

   US ethics watchdog hails SFC plan

   Posted Apr 22nd 2013, 12:00am by Enoch Yiu

   ... planners from 14 countries to exchange views. SFC chairman Carlson Tong Ka-shing said last month the regulator would tighten the rules on investment-linked insurance, products, particularly sales ...

   http://www.scmp.com/business/money/markets-investing/article/1220202/us-ethics-watchdog-hails-sfc-plan
5. Business - Comment - WHITE COLLAR

   Regulators should enhance transparency themselves

   Posted Sep 18th 2012, 03:36am by Enoch Yiu

   ... then reverted to the old way of calculating the market's price by using the traditional median price from the final five transactions of stocks. More than three years on, neither the SFC ...

   http://www.scmp.com/business/article/1039479/regulators-should-enhance-transparency-themselves
6. Business - Banking & Finance - DISCLOSURE

   Accountants face challenge over disclosure of state secrets

   Posted Sep 03rd 2012, 12:00am by Enoch Yiu

   ... as a reason for not disclosing information to auditors and if accountants can use that same excuse to not give information to the Securities and Futures Commission (SFC). The debate will take ...

   http://www.scmp.com/business/banking-finance/article/1028515/accountants-face-challenge-over-disclosure-state-secrets
7. Business - Money - REGULATION

   SFC suspends securities broker from trading

   Posted Mar 20th 2013, 12:00am by Enoch Yiu

   ... inquiries continued, the SFC said in a statement last night. The commission said the firm had about 100 clients. According to the SFC website, the firm has licences for trading securities and asset ...

   http://www.scmp.com/business/money/markets-investing/article/1194938/sfc-suspends-securities-broker-trading
8. Business - Banking & Finance - REGULATION

   SFC hatching rules to lure more funds to city

   Posted Mar 01st 2013, 12:00am by Enoch Yiu

   ... Business Banking & Finance Securities and Futures Commission SFC Fund Enoch Yiu enoch.yiu@scmp.com The Securities and Futures Commission is working with the government on proposed changes to the law to lure more funds to the city, according to SFC chairman Carlson Tong Ka-shing. Financial Secretary John Tsang Chun-wah said in his budget speech on Wednesday ...

   http://www.scmp.com/business/banking-finance/article/1164175/sfc-hatching-rules-lure-more-funds-city
9. Business - Banking & Finance - REGULATION

   SFC expects HK$435m deficit in new year

   Posted Feb 05th 2013, 12:00am by Enoch Yiu

   ... motion to call on the regulator to slash or suspend its levy on investors. The SFC is a regulator and does not need such reserves ... We think it is rich enough to stop charging investors ...

   http://www.scmp.com/business/banking-finance/article/1143450/sfc-expects-hk435m-deficit-new-year
10. Business - Banking & Finance

    SFC signals HK$232m deficit for year as income misses target

    Posted Jan 29th 2013, 12:00am by Jeanny Yu

    ... Business Banking & Finance SFC Deficit Securities and Futures Commission Jeanny Yu jeanny.yu@scmp.com The Securities and Futures Commission expects to remain in the red this year, with a total deficit of HK$435.16 million caused by lower fee income and rising staff costs, the second consecutive year the regulator will lose money. The SFC said it would record a deficit ...

    http://www.scmp.com/business/banking-finance/article/1138264/sfc-signals-hk232m-deficit-year-income-misses-target

Pages