All posts tagged "ICAC"
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301EnforcementSFC Bulletin Shows Sponsor Conduct Still Top-of-mind
The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.
February 7, 2020 -
307AML / KYCICAC Charges Two in Bribery Scheme to Circumvent China Capital Controls
A former CITIC branch manager accepted over HK$1mn in commissions for referring 6 bank clients to a money exchange company to remit money from the Mainland to Hong Kong.
December 19, 2019 -
362Enforcement
HK Court Orders Confiscation of HK$1.46m from Former UBS Exec
The case relates to the 2017 conviction of a former UBS associate director for accepting over HK$1.4mn in bribes from a Shenzhen-based client.
August 21, 2019 -
414EnforcementSFC, ICAC Formalise Cooperation Arrangement with MoU
The MoU covers case referrals, joint investigations, the exchange and use of information, mutual provision of investigative assistance, and capacity building.
August 20, 2019 -
541EnforcementSFC Imposes Lifetime Ban on Former UBS Adviser
More than 10 years ago, the adviser accepted HK$1.4m in bribes from a client, paid at a rate of 20% of portfolio gains.
August 6, 2019 -
602Enforcement
Hong Kong ICAC Charges Five More Individuals in Convoy Case
Six individuals are now charged with conspiracy to defraud the Hong Kong stock exchange and the board of directors, shareholders and investors of Convoy.
July 23, 2019 -
1.0KEnforcement
HKEX Official Arrested in ICAC-SFC Joint Operation
The ICAC has arrested the former joint head of IPO vetting for HKEX, and two others, for "suspected corruption and misconduct" in relation to the vetting of listing applications.
June 27, 2019 -
730EnforcementFormer DBS Hong Kong Sales Rep Jailed for Loan Fraud
A former sales representative of DBS Bank in Hong Kong was last week sentenced to 14 months' imprisonment for defrauding the bank of loans and commissions.
May 22, 2019 -
1.1KEnforcementEx-JP Morgan Managing Director Charged with Bribery
A former JP Morgan Securities managing director offered to employ the son of a potential client as a reward for "showing favour" in hiring the bank for IPO sponsor work.
May 20, 2019 -
906Enforcement
Hong Kong ICAC Files Charges Against Former Convoy Director
Charges were laid against Cho Kwai Chee, a former director of Convoy Global Holdings, one of the companies said to be at the centre of the so-called 'enigma network'.
May 18, 2019
