Live Breaking News & Updates on எதிர்காலங்கள் முறையீடுகள் தீர்ப்பாயம்

Stay updated with breaking news from எதிர்காலங்கள் முறையீடுகள் தீர்ப்பாயம். Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.

Hong Kong appeals tribunal overturns financial sector ban on ex-UBS banker

Hong Kong appeals tribunal overturns financial sector ban on ex-UBS banker
reuters.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from reuters.com Daily Mail and Mail on Sunday newspapers.

Hong Kong , Jan Harvey , Cai Hongping , Michael Hartman , Alun John , Thomson Reuters Trust Principles , Futures Commission , China Metal Recycling , Investment Banking , Futures Appeals Tribunal , Thomson Reuters Trust , ஹாங் காங் , ஜான் ஹார்வி , மைக்கேல் ஹார்ட்மேன் , அழுந்த ஜான் , தாம்சன் ராய்ட்டர்ஸ் நம்பிக்கை ப்ரிந்ஸிபல்ஸ் , எதிர்காலங்கள் தரகு , சீனா உலோகம் மீள் சுழற்சி , முதலீடு வங்கி , எதிர்காலங்கள் முறையீடுகள் தீர்ப்பாயம் , தாம்சன் ராய்ட்டர்ஸ் நம்பிக்கை ,

Hong Kong appeals tribunal overturns financial sector ban on ex-UBS banker

Hong Kong appeals tribunal overturns financial sector ban on ex-UBS banker
Toggle share menu
Advertisement
04 Jun 2021 07:25PM
Share this content
Bookmark
HONG KONG: A former top UBS banker in Hong Kong, Cai Hongping, has had a five-year ban from the financial industry for misconduct on an initial public offering overturned after a review, the city s Securities and Futures Commission (SFC) said on Friday.
In 2019 the SFC, in the culmination of a crackdown on shoddy listing standards in Hong Kong, banned UBS from leading IPOs in the city for a year, and fined it and three rivals a combined US$100 million for due diligence failures on three IPOs. ....

Hong Kong , Jan Harvey , Cai Hongping , Michael Hartman , Futures Commission , China Metal Recycling , Investment Banking , Futures Appeals Tribunal , Business And Finance , ஹாங் காங் , ஜான் ஹார்வி , மைக்கேல் ஹார்ட்மேன் , எதிர்காலங்கள் தரகு , சீனா உலோகம் மீள் சுழற்சி , முதலீடு வங்கி , எதிர்காலங்கள் முறையீடுகள் தீர்ப்பாயம் , வணிக மற்றும் நிதி ,

Guide To SFC Enforcement Action: From SFC Investigation Notice To Disciplinary Action, Prosecution & Appeal - Corporate/Commercial Law

To print this article, all you need is to be registered or login on Mondaq.com.
The SFC Enforcement Division is responsible for addressing
wrongdoing in the securities and futures markets in Hong Kong.
Apart from conducting market surveillance to detect possible
wrongdoing, it takes action, known in the market as SFC enforcement
action, to ascertain whether such wrongdoing merits prosecution.
SFC enforcement action may comprise SFC investigations, SFC
disciplinary proceedings, MMT proceedings, criminal proceedings as
well as civil proceedings intended to protect the investing public.
In this article, we provide a high level guide to SFC enforcement
action with the aim of assisting persons who may be subject to such ....

Hong Kong , Enforcement Division , Futures Commission , Companies Winding , Corporate Finance Division , Futures Ordinance , Market Misconduct , Finance Division , Privilege Against , Preserve Records Subject , Misconduct Tribunal Proceedings , Misconduct Tribunal , Prosecution Powers , Anti Money Laundering , Counter Terrorist Financing Ordinance , Trial Against , First Instance , Final Appeal , Market Misconduct Tribunal , Hong Kong Exchanges , Persons Licensed , Futures Appeal , Futures Appeals Tribunal , ஹாங் காங் , அமலாக்கம் பிரிவு , எதிர்காலங்கள் தரகு ,