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Regulatory News
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
SFC reprimands and fines Bright Smart Securities International (H.K.) Limited $2.8 million for internal control failures in monitoring suspicious trades
The Securities and Futures Commission (SFC) has reprimanded and fined Bright Smart Securities International (H.K.) Limited (BSSIHK) $2.8 million for failing to implement adequate and effective internal control procedures to monitor and detect wash trades conducted by its clients
Jul 31
SFC reprimands and fines China Industrial Securities International Asset Management Limited $6.8 million for failing to properly identify and address red flags in dubious arrangements and other...
The Securities and Futures Commission (SFC) has reprimanded and fined China Industrial Securities International Asset Management Limited (CISIAM) $6.8 million for failing to discharge its duties as the fund manager of a private fund (Fund) between August 2019 and September 2020 (
Jul 31
SFC reprimands and fines Luk Fook Securities (HK) Limited $2.1 million for inadequate cybersecurity control to fend off cyberattack
The Securities and Futures Commission (SFC) has reprimanded and fined Luk Fook Securities (HK) Limited (LFSHK) $2.1 million for failing to implement adequate and effective cybersecurity control measures, which might have contributed to its failure to withstand a ransomware attack
Jul 31
SFC issues restriction notice to broker to freeze assets of over $125 million linked to suspected IPO fraud
The Securities and Futures Commission (SFC) has issued a restriction notice to Futu Securities International (Hong Kong) Limited (Futu), prohibiting it from dealing with or processing assets of up to $125,247,000 in client accounts held by an entity suspected to be involved in a
Jul 31
The Association Urges the SFC to Optimise the CVAP Examination and Raises Concerns over Operating Costs under New VA Policies
On 3 July 2026, the Hong Kong Securities and Futures Professionals Association (the “Association”) visited the Legislative Council and held a meeting with Mr. Joseph Chan, Under Secretary for Financial Services and the Treasury, along with other secretaries, as well as regulatory
Jul 24
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