SFC
fidelity criticised for breaching takeover code
Fidelity Worldwide Investment has been publicly criticised by the Hong Kong regulator for failing to disclose a large position it held in Little Sheep, a company which was subject to a takeover.
phoney adviser convicted in hong kong
A person who purported to be the founder and chief executive of a licensed corporate advisory company in Hong Kong has been convicted by a local court and fined.
United Kingdom | 2 Nov 11
sfo launches whistleblower hotline
The UKs Serious Fraud Office has launched a whistleblower hotline to encourage members of the public to help unmask fraud and bribery.
Tax & Regulation | 28 Oct 11
hong kongs regulatory head warns regulation
The head of Hong Kongs Securities and Futures Commission has warned that regulation should not be used as a competitive tool but should be directed at containing systemic risks and protecting investors.
solomon fined for black swan deal
Hong Kong regulator the Securities and Futures Commission has reprimanded Solomon Independent Financial Advisors and fined it HK$1.5m.