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Issue 1

Regulatory enforcement newsletter

Inside

Introduction 2 Part XIVA of the Securities and Futures Ordinance (“SFO”) 2 Yorkey Optical International (Cayman) Limited (“Yorkey”) – no profit warning, how not to comply with Part XIVA 3 Mayer Holdings Limited (“Mayer”) – keeping quiet about the auditor’s resignation, another example of how not to comply with Part XIVA 4 Hong Kong Courts change their practice to do the ‘ fullest justice ’ for victims of fraud 6 Miscellaneous 7 Get in touch 8