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Browse: Home / Hong Kong / Page 2

Hong Kong

HK regulator thwarted in attempt to ban Tiger Asia from trading

HK regulator thwarted in attempt to ban Tiger Asia from trading

By Securities Docket on June 21, 2011, 10:06 am

Hong Kong court thwarts regulator’s attempt to ban trading by US-based hedge fund.

Posted in Global, Top | Tagged Hong, Hong Kong, Regulators

HK court to rule on Tiger hedge fund trading ban within 2 weeks

HK court to rule on Tiger hedge fund trading ban within 2 weeks

By Securities Docket on June 2, 2011, 10:06 am

Court to rule on whether regulator may ban New York-based hedge fund Tiger Asia from trading in the territory.

Posted in Global, Industry, Top | Tagged Hedge Funds, Hong Kong

Hong Kong: Former Morgan Stanley Banker Gets 7 Years for Insider Trading

Hong Kong: Former Morgan Stanley Banker Gets 7 Years for Insider Trading

By Securities Docket on September 18, 2009, 11:48 am

Former MS banker Du Jun receives longest possible sentence.

Posted in Global | Tagged Hong Kong, Insider Trading, Sentencing

Hong Kong’s Continued Crackdown on Insider Trading

Hong Kong’s Continued Crackdown on Insider Trading

By Securities Docket on September 11, 2009, 2:48 pm

Du Jun conviction just latest in string since 2007.

Posted in Global | Tagged Hong Kong, Insider Trading

Hong Kong: Convicted Banker Blames Morgan Stanley's Compliance System

Hong Kong: Convicted Banker Blames Morgan Stanley’s Compliance System

By Securities Docket on September 11, 2009, 8:39 am

Banker argues firm’s compliance officers should have stopped him from the start.

Posted in Global | Tagged Hong Kong, Insider Trading

Hong Kong: Former Inv. Banker, Hedge Fund Manager Jailed After Pleading Guilty to Insider Trading

By Securities Docket on July 20, 2009, 4:40 pm

In Hong Kong, a court has sentenced Allen Lam, former investment banking director at Hong Kong-based CLSA, to six month in jail for insider trading. Lam allegedly tipped off Ryan Fong, former hedge fund manager at HSZ, on a takeover bid for Media Partners.  Fong was sentenced to a year in prison and fined HK$1.37 […]

Posted in Global | Tagged Features, Hong Kong, Insider Trading | 1 Response

Hong Kong: SFC Obtains Convictions in Insider Trading Case

By Securities Docket on July 7, 2009, 8:42 am

Hong Kong’s Securities and Futures Commission obtained its latest criminal conviction for insider trading Tuesday when an ex-banker at CLSA Equity Capital Markets Ltd. and a former hedge fund manager both pleaded guilty to charges of insider dealing.  The WSJ reports that the two remain in custody and await sentencing on July 13. The case […]

Posted in Global | Tagged Convictions, Features, Hong Kong, Insider Trading | 1 Response

Alan Linning Joins Sidley Austin in Hong Kong

Alan Linning Joins Sidley Austin in Hong Kong

By Securities Docket on July 6, 2009, 4:15 pm

Alan Linning has joined law firm Sidley Austin LLP as a partner in its Hong Kong office.  The firm announced today that Linning has joined its commercial litigation and regulatory practice. Prior to joining Sidley, Linning was Managing Director and Head of Asia Regional Compliance at JPMorgan Chase, a position that he held since 2006. […]

Posted in People | Tagged Hong Kong, Lawyers

Hong Kong: Insider Trading Trial Takes Unusual Turn

By Securities Docket on May 18, 2009, 3:00 pm

The high-profile insider trading case in Hong Kong against former Morgan Stanley managing director Du Jun took an unexpected turn today when it emerged that Morgan Stanley compliance officers approved the trades of Du Jun at issue due to confusion as to the name of the security involved. The FT reports that in February 2007, […]

Posted in Global | Tagged Hong Kong, Insider Trading

Hong Kong: SFC Obtains Third Criminal Conviction for Insider Trading in Last Twelve Months

By Securities Docket on March 31, 2009, 10:43 pm

In Hong Kong, Andy Lam King Hung, an accounting manager at Chinese Estates Holdings Ltd., was convicted on two criminal charges of insider dealing in the shares of Chi Cheung Investment Co, Ltd.  He was remanded in custody pending his sentencing April 20, 2009, AHN reports. An investigation by Hong Kong’s Securities and Futures Commission […]

Posted in Global | Tagged Features, Hong Kong, Insider Trading | 1 Response

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