Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more
This site is for accredited investors, professional investors, investment managers and financial professionals only.
You should have assets around $3 million to $300 million or managing $20 million to $3 billion.
Hong Kong SFC Criticises Nomura International for Breaches of Takeovers Code
Hong Kong’s Securities and Futures Commission (SFC) has criticised Nomura Hong Kong and Annisa Lee for breaches of the Code on Takeovers and Mergers. The breaches occurred when Nomura was acting as financial adviser to West China Cement Limited (West China) on a possible mandatory offer for the company’s shares.
“ Nomura International Criticises for Breaches of Takeovers Code “
Nomura Hong Kong had failed to comply with restrictions on the issuance and distribution of research reports when it published five credit commentaries and three weekly wraps on West China Cement Limited during the relevant period. As West China was on the restricted list, the commentaries should not had been published.
Annisa Lee, Managing Director and Head of Flow Credit Desk Analysis, Asia ex-Japan in its Sales/Trading business was responsible for the reports. Her duties includes supervising a team of four desk analysts which publishes commentaries on credit products for Nomura Hong Kong’s clients and generates trade ideas for Nomura Hong Kong’s credit flow traders.
The 2024 Investment Day
6th March Hong Kong | 13th March Singapore
Private Equity, Hedge Funds, Boutique Funds, Private Markets & more. Taking place on 6th March 2024 in Hong Kong, 13th March 2024 in Singapore.
Visit | Register here
The 2024 Family Office Summit10th April Hong Kong | 24th April Singapore
Join 100+ single family offices & family office professionals in Hong Kong & Singapore
Links: 2024 Family Office Summit | Register here
Nomura Hong Kong and Annisa had rendered full cooperation, including self-reporting of the breaches and the measures implemented to address the deficiencies and strengthen its compliance with the Takeovers Code.
On 27th November 2015, West China and Anhui Conch Cement Company Limited (Anhui Conch) had jointly announced a possible offer by Anhui Conch for West China shares (West China Offer), valued at HK$3.52 billion. The transaction had lapsed on 30th June 2016.
Managing $20 million to $3 billion. Investing $3 million to $300 million.
For Investment Managers, Hedge Funds, Boutique Funds, Private Equity, Venture Capital, Professional Investors, Family Offices, Private Bankers & Advisors, sign up today. Subscribe to Caproasia and receive the latest news, data, insights & reports, events & programs daily at 2 pm.
Join Events & Find Services
Join Investments, Private Wealth, Family Office events in Hong Kong, Singapore, Asia-wide. Find hard-to-find $3 million to $300 million financial & investment services at The Financial Centre | TFC. Find financial, investment, private wealth, family office, real estate, luxury investments, citizenship, law firms & more. List hard-to-find financial & private wealth services.
Have a product launch? Promote a product or service? List your service at The Financial Centre | TFC. Join interviews & editorial and be featured on Caproasia.com or join Investments, Private Wealth, Family Office events. Contact us at [email protected] or [email protected]Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets?