Tag Archives: compliance

SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures

 22 Feb 2021  The SFC has reprimanded Brilliance Asset Management Limited (Brilliance) and fined it [...]

Exchange’s Disciplinary Action against Xinming China Holdings Limited and its executive director

08 Jan 2021 Xinming China Holdings Limited (Stock Code: 2699) (“Company”); and Mr Chen Cheng [...]

SFC reprimands and fines Fulbright Securities Limited $3.6 million

 23 Dec 2020 SFC has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million [...]

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

23 Dec 2020 SFC today released consultation conclusions on proposed customer due diligence requirements for [...]

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives

30 Nov 2020 Company involved: New Ray Medicine International Holding Limited People involved: Mr Zhou [...]

SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings

22 Oct 2020  SFC has reprimanded and fined Goldman Sachs Asia HK$2.71 billion for serious [...]