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Regulatory News


Record year for investment product sales in Hong Kong with robust demand for FICC-related products: SFC-HKMA joint survey 2025
Sales of non-exchange-traded investment products surged 63% year-on-year (YoY) to an all-time high of $9.9 trillion in 2025, driven by a record level of market participation with strong demand for fixed-income, currency and commodity (FICC)-related products, according to the annu
2 days ago


SFC suspends dealings in Cloudbreak Pharma Inc. shares over suspected IPO rigging
The Securities and Futures Commission (SFC) has directed The Stock Exchange of Hong Kong Limited (SEHK) to suspend dealings in the shares of Cloudbreak Pharma Inc. (Cloudbreak) (Stock Code: 02592) under section 8(1) of the Securities and Futures (Stock Market Listing) Rules (SMLR
2 days ago


SFC enhances guidance for authorised funds with exposure to private market assets
The Securities and Futures Commission (SFC) today issued a circular to provide guidance on SFC-authorised funds with exposure to private credit and private equity (collectively, private market assets) to enhance their transparency on underlying investments and associated risks (N
Sep 4


SFC revokes Ernest Chan Tsz Kin’s licence and bans him for 10 years
The Securities and Futures Commission (SFC) has revoked the licence of Mr Ernest Chan Tsz Kin, a former responsible officer (RO) of Keptain Securities and Asset Management Limited (Keptain), and the approval for him to act as an RO, for window dressing Keptain’s financial resourc
Aug 28


First cohort of GenA.I. Sandbox++
The Hong Kong Monetary Authority (HKMA), the Securities and Futures Commission (SFC), the Insurance Authority (IA), and the Mandatory Provident Fund Schemes Authority (MPFA), in collaboration with the Hong Kong Cyberport Management Company Limited (Cyberport), announced today (27
Aug 28


SFC obtains six-year disqualification order against former executive director of National United Resources Holdings Limited over fictitious transactions
The Securities and Futures Commission (SFC) has obtained a six-year disqualification order in the Court of First Instance against Mr Tian Songlin, a former executive director of National United Resources Holdings Limited (NUR), after he admitted to breaching his fiduciary duties
Aug 14


Hearing adjourned in criminal prosecution for noncompliance with SFC notices in market manipulation investigations
The Eastern Magistrates’ Court today adjourned the hearing to 17 September 2026 on the criminal prosecution brought by the Securities and Futures Commission (SFC) against Mr Oliver Chow Pak Wah for his alleged failures to comply with the notices issued under section 183 of the Se
Aug 14


SFC Obtains 13-Year Disqualification Orders Against Former China Candy Holdings Executives
The Securities and Futures Commission (SFC) has obtained 13-year disqualification orders in the Court of First Instance against three former top executives of China Candy Holdings Limited (China Candy) for their involvement in fiendish schemes that substantially overstated the co
Aug 7
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