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Hong Kong Law

May 2014

Best Boutique Firm 2014

Asian Legal Business Awards

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Dominion Centre,12th Floor
43-59 Queen's Road East, Hong Kong

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www.charltonslaw.com

 

Charltons - Hong Kong Law Newsletter - Issue 242 - 27 May 2014

SFC reprimands Deutsche Bank

Hong Kong SFC reprimanded and fined ICBCI

Internal control failings

Deutsche Bank regulatory breaches

SFC penalties for Deutsche Bank and ICBCI

ICBCI Capital and ICBCI Securities

Powerlong Real Estate Holdings Limited

Know your client due diligence KYC

Failure to implement adequate internal controls

Electronic position monitoring system

Circumstances under which a person is under a duty of disclosure
Rule 8.08 of the Listing Rules
Hong Kong Securities and Futures Commission SFC