‘Enforcement 40’ for 2020
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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.
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.
By Securities Docket on September 18, 2009, 11:48 am
Former MS banker Du Jun receives longest possible sentence.
By Securities Docket on September 11, 2009, 2:48 pm
Du Jun conviction just latest in string since 2007.
By Securities Docket on September 11, 2009, 8:39 am
Banker argues firm’s compliance officers should have stopped him from the start.
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 […]
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 […]
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. […]
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, […]
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 […]