All posts tagged "China Forestry"
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365EnforcementSFC Lifts UBS Underwriting Suspension Two Months Early
The SFC is satisfied that UBS has adequate and effective systems, controls, policies and procedures to enable compliance with all requirements in relation to its sponsor business.
January 14, 2020 -
433EnforcementChina Forestry Liquidators File Lawsuit Against Pre-IPO Auditor
The plaintiffs allege that KPMG “negligently failed to identify that they were the victims of a serious and pervasive false accounting by former members of executive management.”
November 5, 2019 -
1.1KEnforcement
SFC Fines UBS and Others HK$787mn for IPO Sponsor Failures
“The sanctions send a strong and clear message to the market that we will not hesitate to hold errant sponsors accountable for their misconduct,” said SFC chief Ashley Alder.
March 15, 2019 -
1.1KEnforcementUBS, StanChart to Settle Hong Kong IPO Misconduct Case
The case goes back to the 2009 listing of a Chinese timber company, which was later suspended for accounting irregularities. Details of the settlement will be released at a later date.
March 12, 2019
