SFC
pacific sun advisors acquitted of issuing ads
Pacific Sun Advisors and its director Andrew Pieter Mantel have been acquitted over four counts of issuing advertisements to promote a collective investment scheme without the authorization of the Securities and Futures Commission (SFC).
Tax & Regulation | 20 Mar 13
sfc should get tough on hk life investment
The securities regulator's plan to tighten the rules on investment-linked insurance products is more an opportunity than a threat, Friends Provident International’s Hong Kong based general manager has told the South China Morning Post.
another morgan stanley asia employee
Morgan Stanley has again been chastised by Hong Kong’s City watchdog, with one of its researchers receiving a 14-month industry ban.
insurance company and director acquitted
An insurance company and one of its directors in Hong Kong have been acquitted of aiding and abetting unlicensed sales of an investment fund.
former citic pacific exec jailed for insider
A former assistant director of finance at CITIC Pacific, a Hong Kong based property and mining company, has been jailed and fined for insider dealing.