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Regulatory News


SFC revokes the licence of Nerico Brothers Limited and bans its senior management for life
The Securities and Futures Commission (SFC) has revoked the licence of Nerico Brothers Limited (NBL) for facilitating misappropriation of...
Aug 31, 2025


SFC revokes the licence of Amber Hill Capital Limited and bans its senior management for life
The Securities and Futures Commission (SFC) has revoked the licence of Amber Hill Capital Limited (AHCL) for facilitating...
Aug 31, 2025


Wong Pak Ming to stand trial for insider dealing after pleading not guilty
The criminal trial of the insider dealing prosecution brought by the Securities and Futures Commission (SFC) against businessman Mr Wong...
Aug 31, 2025


SFC seeks court order to freeze assets up to $62.5 million for investor compensation in sophisticated ramp-and-dump case
The Securities and Futures Commission (SFC) has applied for an order from the Court of First Instance to freeze assets intended for...
Aug 31, 2025


SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank Aktiengesellschaft (DB) $23.8 million for various...
Aug 31, 2025


SFC bans Zhu Hong for 12 months and fines her $400,000 for fund management failures
The Securities and Futures Commission (SFC) has banned Ms Zhu Hong, a substantial shareholder, director and former manager-in-charge of...
Aug 24, 2025


Public warned of impersonation scams carried out in the name of SFC
The Securities and Futures Commission (SFC) today cautions the public against impersonation scams perpetrated by fraudsters in the name...
Aug 24, 2025


SFC and HKEX collaborate in enforcement action against two former listed company directors for non-cooperation in investigations
The Stock Exchange of Hong Kong Limited (Exchange) has taken its first-ever disciplinary action against two former directors of a listed...
Aug 17, 2025
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