thomas atkinson

SFC promises more IPO sponsor probes

The head of enforcement at Hong Kong’s securities regulator gave a stern warning to investment banks on Thursday, promising to bring more cases against IPO sponsors — and criticising a lack of professionalism on some deals.
November 17, 2016

Amid UBS probe, more banks in SFC's sights

UBS could lose its Hong Kong corporate finance licence after a crackdown by the local regulator. But it will not be the only bank threatened with stiff penalties, according to a source familiar with the regulator’s plans.
October 28, 2016

Hong Kong watchdog flexes its muscles

The Securities and Futures Commission's new top enforcer has wasted no time making an impact. That's not just right — it's also good for business.
October 28, 2016