irasia.com - Securities & Futures Commission

1999-December-30	Business Activities Survey Report Published
1999-December-29	Joint Press Release - Recent Price Movement of Listed Issuers
1999-December-24	Compensation Payments to Clients of C.A. Pacific Securities Ltd Forluxe Securities Ltd. and Chark Fung Securities Company Ltd.
1999-December-23	Wei Xin Securities Limited Cheong Woon Securities Company
1999-December-22	Investor Education TV Programmes
1999-December-21	SFC Reprimands Mr Edward Chan Tak Wah and Mr Chan Kwok Tim
1999-December-20	SFC Publishes Main Findings of Retail Investor Survey
1999-December-15	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-December-14	(1) SFC Prosecutes Long Investment Management Limited for Short-Selling (2) SFC Takes Action Against Unregistered Securities Dealing Activities (3) SFC Prosecutes the Deputy Chairman of Dong Jian Group Holdings Limited for Market Manipulation
1999-December-9	SFC Publicly Reprimands China Pacific Securities Limited and its Dealing Director Sze Suk Ling
1999-December-7	Securities and Futures Commission Takes Action Against T & L Investment Limited (T & L Investment)
1999-December-2	Winnie Wu Man Ying Prosecuted for Misleading SFC
1999-December-1	SFC Reprimands Mr Lok Wan Wai
1999-November-30	SFC Publicly Reprimands a Dealer's Representative for Recruiting Introducing Agents over the Internet
1999-November-26	Moratorium for Management Shareholders on GEM
1999-November-23	SFC Reprimands Mrs Chan Ko Shun Lan
1999-November-23	SFC Takes Action Against Unregistered Securities Dealing Activities
1999-November-22	SFC Chairman Andrew Sheng Chairs Task Force on Implementation of Standards to Meet in Hong Kong
1999-November-19	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-November-15	SFC Suspends the Registrations of Two Dealer's Representatives
1999-November-10	Takeovers and Mergers Panel Decision in relation to Tse Sui Luen Jewellery (International) Limited (the "Company")
1999-November-9	SFC Successfully Prosecutes Tresidder Tuohy and Partners (HK) Limited for Possession and Issuance of Unauthorised Advertisements and Promotional Documents in relation to Investment Arrangements
1999-November-5	SFC Announces Amendments to its Code of Conduct For Persons Registered with the Securities and Futures Commission
1999-November-2	SFC Successfully Prosecutes Mr Thomas Alexej Hall, Mr Christopher John Parker, Mr Neil Hamilton Pearce, and Ms Tsang Tin Wai Flora for Possession and Issuance of Unauthorised Advertisements and Marketing Documents in relation to Investment Arrangements
1999-October-21	Regulatory Framework after the Merger of the Exchanges
1999-October-21	SFC to Recruit Staff from the Exchanges
1999-October-21	SFC Reprimands Tsui Moon Kwong
1999-October-19	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-October-15	SFC & RTHK Jointly Organise A Competition on Investor Education Themes & SFC Adds Audio Function on its Website
1999-October-14	CSRC and SFC Signed Letters of Exchange Regarding Regulatory Co-operation for Mainland Companies to be listed on GEM
1999-October-13	Joint Press Release - The period covered by the accountants reports in the listing documents for companies applying for listing on GEM
1999-October-13	SFC Further Explains Its Suspension Policy
1999-October-12	Report on the Enhancement of the Financial Infrastructure in Hong Kong
1999-October-11	SFC Explains Its Suspension Policy
1999-October-10	Joint Press Release - Action against Lei Shing Hong Securities Limited and Mr Chan Wai Chow, Johnnie
1999-October-10	SFC Publicly Reprimands Mr Lam Wai Hung Percy
1999-October-7	Joint Press Release - Announcements by Listed Issuers on Investments in Technology and Internet-related Businesses
1999-October-6	SFC Supports Chief Executive's Initiatives
1999-September-29	SFC Prosecutes Chan Man Yim and Lam Wing Tong for Short-Selling
1999-September-28	SFC Takes Action Against Tse's Forex Investment Company Limited (Tse's Forex) and Tse's Securities Limited (Tse's Securities) (Collectively referred to as the Tse's Group)
1999-September-27	SFC Congratulates the Hong Kong Exchanges and Clearing Limited
1999-September-23	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-September-22	SFC Successfully Prosecutes Patricia Cheung Pui Lee and Cheung Man Kwong for Unregistered Dealing in Securities
1999-September-20	Review of the Hong Kong Code on Takeovers and Mergers
1999-September-20	SFC Revokes the Registration of Mr Leung Sing Hoi
1999-September-17	SFC Publicly Reprimands Fung Hung, Henry
1999-September-14	SFC Successfully Prosecutes Christopher Marshall, Bryan Kelly, Annette Michelle Houlihan and Daryl Paul Evans For the Issue of Unauthorised Promotional Materials in Relation to Investment Arrangements
1999-September-14	Investor Education Campaign for Youth
1999-September-10	Issue of Advertisements by Intermediaries
1999-September-2	SFC Prosecutes Kwan Wud Hong for Unregistered Dealing in Securities
1999-August-25	Wong Po Ki was Prosecuted for Misleading SFC
1999-August-24	(1) The SFC's Successful Prosecution for Market Manipulation (2) SFC Successfully Prosecutes Soon Lin Wai, Alvin for Unlicensed Leveraged Foreign Exchange Trading (3) SFC Takes Action Against Unregistered Dealing Activities (4) SFC Prosecutes Wong Yin Ling for Short Selling
1999-August-20	Takeovers and Mergers Panel Disciplinary Decision South East Group Limited ("South East") (formerly Benelux International Limited); "Cold shoulder" order imposed on Madame Cheong, Dr. Hendra Rahardja and Fortune Grand Investment Limited
1999-August-19	1. Action Against Christina Lee Oi Ping 2. Chan Yuk Ping Prosecuted for Misleading SFC 3. SFC Prosecutes Cheung Ying Hung for the possession and issuance of unauthorised advertisements in relation to an investment arrangement
1999-August-12	1. SFC Revokes the Registration of Chan Kwong Hung 2. SFC Successfully Prosecutes Ng Shun Fu for Aiding and Abetting Unregistered Dealing in Securities
1999-August-10	SFC Takes Action against Mr Sung Wah Ting
1999-August-3	The SFC's Successful Prosecution for Market Manipulation
1999-August-3	Compensation Payments to Clients of C.A. Pacific Securities Ltd.
1999-July-29	SFC Issues Consultation Conclusions on Treasury Shares
1999-July-29	SFC Reprimands Deng Hai Tao
1999-July-23	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-July-20	SFC Revokes the Registration of Kuo Wai Lan, Peggy
1999-July-20	Reduced Application Fee for Investment Representatives Advising on Securities Incidental to the Marketing of Mandatory Provident Fund Schemes Only
1999-July-19	Proposed Capital and Debt Restructuring Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-16	1. SFC Publicly Reprimands Mr Ng Yu Hon; 2. SFC Publicly Reprimands I & P Securities Ltd; 3. Notes to Editor/Advice to Industry
1999-July-15	Unconditional Voluntary Cash offer by Intelligent Trico Investment Holdings Limited for all the issued shares of King Pacific International Holdings Limited ("King Pacific")
1999-July-15	SFC Reprimands Dealer's Representative Mr Lai Tai Wai
1999-July-14	SFC Releases 1998-99 Annual Report Making the Markets Work Better
1999-July-13	Proposed Capital and Debt Restructuring, Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-12	Proposed Capital and Debt Restructuring, Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-9	Proposed Capital and Debt Restructuring, Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-8	Hong Kong Exchanges and Clearing Limited
1999-July-8	SFC Suspends the Registration of Wong Wing Hing
1999-July-7	Proposed Capital and Debt Restructuring, Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-6	Joint Press Release - A New Surveillance System at the SFC and the Exchange
1999-July-5	Proposed Capital and Debt Restructuring, Subscription of New Shares in Chi Cheung Investment Company, Limited ("Chi Cheung")
1999-July-5	SFC Issues an Overview Guide to the Proposed Securities and Futures Bill
1999-July-5	SFC Revokes the Registrations of Great Honour Securities Limited and its Dealing Director, Mr Chow Tak Cheung
1999-June-30	SFC Issues Consultation Paper on Licensing Regime
1999-June-25	SFC Takes Action Against Unregistered Dealing
1999-June-25	Cheerful Commodities Inquiry Result
1999-June-25	Cheerful Securities Inquiry Result
1999-June-25	SFC Issues Guidelines for Review of Internal Controls and Systems of Trustees/Custodians
1999-June-24	Takeovers and Mergers Panel Disciplinary Decision Kong Tai International Holdings Company Limited Mr David Wong "cold shouldered" unless and until arrangements are made to compensate shareholders
1999-June-24	1. SFC Revokes the Registration of Lau Lap Sing; 2. SFC Reprimands Chiu Fook Woo; 3. Lo Tsz Lung Ernest Prosecuted for Misleading SFC
1999-June-22	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-June-21	Action Against Mr. Hung Sing Kwong
1999-June-17	Securities and Futures Commission Publishes SFC Code on MPF Products
1999-June-15	Joint Press Release - Action against Chan Yuen Yee
1999-June-10	SFC Suspends Lai Sze Man, Dora
1999-June-8	Takeovers and Mergers Panel Disciplinary Decision South East Group Limited ("South East Group") (formerly Benelux International Limited)
1999-June-3	1. Action Against Luen Fat Securities Company Limited; 2. SFC Reprimands Kwok Kam Chung, George; 3. SFC Prosecutes Fung Yee Wan for Short Selling; 4. SFC Prosecutes The Farm House Restaurant Limited and Mr Chan Hing To for unauthorised issue of advertisements in relation to an investment arrangement
1999-June-1	Chan Siu Wai Prosecuted for Misleading SFC
1999-May-31	SFC launches new API and Poster Campaign
1999-May-27	1. SFC Reprimands Siu Kai Yee 2. SFC Reprimands Lai Lai Kan
1999-May-25	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-May-24	Takeovers and Mergers Panel Disciplinary Decision South East Group Limited ("South East Group") (formerly Benelux International Limited)
1999-May-24	SFC Issues Code on MPF Products
1999-May-20	"The Regulatory Framework for the Second Board"
1999-May-14	"Accountability and Transparency in the Age of Global Markets"
1999-May-13	SFC Reprimands Chan Wing Fai
1999-May-6	Joint Press Release - Action against Hing Shing Investments Co ("Hing Shing")
1999-May-6	SFC Reprimands Mr Hui Suen Tak
1999-May-5	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-April-30	Tenth Anniversary Lecture
1999-April-30	A Decade of Progress
1999-April-28	Joint Press Release - Action Against Hon Hing Futures Limited
1999-April-22	Takeovers and Mergers Panel Decision on Far East Aluminium (Holdings) Limited
1999-April-22	"Technology, Change and Reform Implications for Hong Kong's Securities and Futures Markets"
1999-April-22	SFC Publicly Reprimands Tam Siu Leung David
1999-April-18	Takeovers Appeal Committee releass decision on Shun Ho Resources Holdings Limited Mr Jim Wong and Mr Danny Chan publicly reprimanded
1999-April-15	SFC Prosecutes Tam Suk Ling for Short Selling
1999-April-13	Consultation Conclusions on the Proposed Amendments to the Securities (Disclosure of Interests) Ordinance
1999-April-8	Second Street-wideYear 2000 Compliance Test Successfully Completed
1999-March-31	SFC Publishes Guidance Note on Internet Regulation
1999-March-26	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-March-25	SFC Prosecutes Ng Kwok Leung, Chu Wing Kin, Chan Nga Sze and Tam Wah Shing for Short Selling
1999-March-24	Appointment of Executive Directors
1999-March-18	SFC Takes Action Against Unregistered Dealer's representative
1999-March-17	SFC Reprimands Mansion House Securities (FE) Limited and Revokes the Registrations of Lai Nung Chi, Donald
1999-March-9	SFC Prosecutes Deng Haitao for Short Selling
1999-March-9	SFC Announces Client Identity Rule Policy
1999-March-8	Year 2000 Compliance by Intermediaries
1999-March-4	The Court of First Instance allows the SFC's Appeal concerning Limitation of Proceedings
1999-March-3	Securities and Futures Market Reform
1999-March-2	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-March-1	SFC Takes Action against Masako Watanabe & Associates Limited and its Investment Adviser and Commodity Trading Adviser
1999-February-25	Disclosure of Share Dealing - Unconditional Cash Offers by Universal Yield Limited (wholly-owned subsidiary of South China Strategic Investments Limited) for Four Seas Travel International Limited
1999-February-25	1. SFC Revokes the Registration of Yip Wai Leung 2. SFC Takes Action Against Cheung Hon Chung, David
1999-February-24	SFC Prosecutes Kanjanapas Keeree (alias Wong Chong Shan) and Flying Elephant Investment Company Limited for contravening the Securities (Disclosure of Interests) Ordinance
1999-February-23	SFC Takes Action Against Unregistered Investment Adviser and Unregistered Dealing in Commodities Trading
1999-February-23	Disclosure of Share Dealing - Unconditional Cash Offers by Universal Yield Limited (wholly-owned subsidiary of South China Strategic Investments Limited) for Four Seas Travel International Limited
1999-February-13	Disclosure of Share Dealing - Unconditional Cash Offers by Universal Yield Limited (wholly-owned subsidiary of South China Strategic Investments Limited) for Four Seas Travel International Limited
1999-February-12	Disclosure of Share Dealing - Unconditional Cash Offers by Universal Yield Limited (wholly-owned subsidiary of South China Strategic Investments Limited) for Four Seas Travel International Limited
1999-February-12	SFC Suspends the Registration of Fu Yuen-Hung, a Securities Dealer's Representative
1999-February-11	Disclosure of Share Dealings - Unconditional Cash Offers by Universal Yield Limited (wholly-owned subsidiary of South China Strategic Investments Limited) for Four Seas Travel International Limited
1999-February-11	Compensation Payments to Clients of CA Pacific Securities Ltd and Forluxe Securities Ltd
1999-February-11	SFC Publicly Reprimands Bear Stearns Asia Limited
1999-February-11	SFC Suspends Patrick Pau Kwok Sing
1999-February-9	SFC Takes Action Against Maxson Securities Limited and its Dealing Director
1999-February-5	Disclosure of Change in Shareholding Percentages - New World Development Company Limited
1999-February-5	Revised Investor Brochures Now Available in More Locations
1999-February-4	SFC Revokes the Registration of Leung Wai Ting, Demon
1999-January-29	First Year 2000 Compliance Street-wide Tests Successfully Held
1999-January-29	Compensation Payments Made to Clients of Foreground Securities Co. Ltd.
1999-January-25	Compensation Payments Made to Clients of Cheong Woon Securities Company
1999-January-22	Disclosure of Share Dealings - Kwong On Bank, Limited
1999-January-21	SFC Takes Action Against Unregistered Dealing
1999-January-20	Investor Education Radio Segments
1999-January-14	SFC suspends Mr Wong Kwong Ho and Mr Tam Chack Chung and publicly reprimands Fair Eagle Securities Company Limited
1999-January-11	SFC Publishes Monthly Progress Report on Year 2000 Compliance
1999-January-7	Regulation of Share Margin Financing
1999-January-6	SFC Announces New Additions to Website
1999-January-5	SFC Takes Action Against Unregistered Dealing Activities
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