‘Enforcement 40’ for 2020
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HK regulator thwarted in attempt to ban Tiger Asia from trading
Hong Kong court thwarts regulator’s attempt to ban trading by US-based hedge fund.
HK court to rule on Tiger hedge fund trading ban within 2 weeks
Court to rule on whether regulator may ban New York-based hedge fund Tiger Asia from trading in the territory.
Hong Kong: Former Morgan Stanley Banker Gets 7 Years for Insider Trading
Former MS banker Du Jun receives longest possible sentence.
Hong Kong’s Continued Crackdown on Insider Trading
Du Jun conviction just latest in string since 2007.
Hong Kong: Convicted Banker Blames Morgan Stanley’s Compliance System
Banker argues firm’s compliance officers should have stopped him from the start.
Hong Kong: Former Inv. Banker, Hedge Fund Manager Jailed After Pleading Guilty to Insider Trading
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 […]
Hong Kong: SFC Obtains Convictions in Insider Trading Case
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 […]
Alan Linning Joins Sidley Austin in Hong Kong
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. […]
Hong Kong: Insider Trading Trial Takes Unusual Turn
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, […]
Hong Kong: SFC Obtains Third Criminal Conviction for Insider Trading in Last Twelve Months
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 […]