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Results: 1-10 of 43

Contentious issues facing financial services institutions in Asia - key themes for 2008

  • Herbert Smith Freehills LLP
  • -
  • China, Hong Kong, Japan
  • -
  • May 8 2008

Financial institutions operating in Asia are facing a growing number of contentious issues

International regulatory update 4 Feb-8 Feb 2013

  • Clifford Chance LLP
  • -
  • European Union, Germany, Global, Hong Kong, Singapore, United Kingdom, USA
  • -
  • February 11 2013

EMIR: European Parliament’s resolution to reject Delegated regulations withdrawn; MiFID review: EU Council Presidency publishes Compromise texts

SFC secures injunctions to freeze overseas assets

  • Norton Rose Fulbright LLP
  • -
  • Hong Kong
  • -
  • September 8 2009

Following the Court of Appeal's confirmation in May 2009 of the SFC's powers under section 213 of the Securities and Futures Ordinance, the regulator has successfully obtained a number of injunctions to prevent the dissipation of assets in on-going insider dealing and market manipulation investigations

Five convicted of insider dealing during landmark trial

  • Freshfields Bruckhaus Deringer LLP
  • -
  • Hong Kong
  • -
  • April 7 2009

On 11 March 2009 Ma Hon Yeung, a former Vice President at BNP Paribas Peregrine Capital (now BNP Paribas Capital (Asia-Pacific)) (BNP), was found guilty and convicted, along with four others, on a total of 12 charges of insider dealing under section 291 of the Securities and Futures Ordinance, following an investigation by the SFC

Jail sentences in first indictable prosecution of false trading in Hong Kong

  • Freshfields Bruckhaus Deringer LLP
  • -
  • Hong Kong
  • -
  • February 17 2010

In late 2009 four defendants in the largest market manipulation case in Hong Kong were jailed for between 26 and 30 months and ordered to pay the costs of the Securities and Futures Commission (SFC

SFC applies to use Du Jun's frozen funds to compensate investors

  • Freshfields Bruckhaus Deringer LLP
  • -
  • Hong Kong
  • -
  • February 17 2010

Du Jun was convicted of insider dealing in September 2009 and sentenced to 7 years imprisonment

SFC’s appeal against court order discharging interim injunctions granted

  • Freshfields Bruckhaus Deringer LLP
  • -
  • Hong Kong
  • -
  • August 6 2009

The Court of Appeal has granted the SFC’s appeal against an order of the court discharging injunctions obtained to prevent dissipation of assets in an on-going insider dealing investigation

First criminal prosecution for disclosure of false or misleading information inducing transactions

  • Freshfields Bruckhaus Deringer LLP
  • -
  • Hong Kong
  • -
  • August 6 2009

The SFC has commenced criminal proceedings against Mr David Vong Tat Leong, CEO of Vongroup, alleging that he disclosed, or was involved in the disclosure, of false or misleading information which was either likely to induce transactions in the shares of Vongroup or maintain or increase its share price

Applicant recently granted right to appeal to Appeal Court from a decision of the Market Misconduct Tribunal

  • Clifford Chance LLP
  • -
  • Hong Kong
  • -
  • November 29 2010

In the recent Court of Appeal (CA) case HCMP No. 2539 of 2009, two Justices of Appeal granted leave for the applicant to appeal to the full CA from the Market Misconduct Tribunal (the Tribunal), on the ground, primarily, that he has a reasonable prospect of success on appeal

International regulatory update 18-29 April 2011

  • Clifford Chance LLP
  • -
  • Global, Hong Kong, India, Japan, Switzerland, United Arab Emirates, United Kingdom, USA
  • -
  • May 3 2011

The Financial Stability Board (FSB) has published a progress report on the implementation of OTC derivatives market reforms

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