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Regulatory News


Court convicts brothers-in-law of false trading
The Eastern Magistrates’ Courts today convicted Mr Lin Tai Fung and his brother-in-law, Mr Or Chun Nin after they pleaded guilty to the...
May 18, 2025


SFC reprimands and fines Sino-Rich Securities & Futures Limited $2 million and suspends its responsible officer for failures in relation to margin lending practices
The Securities and Futures Commission (SFC) has reprimanded and fined Sino-Rich Securities & Futures Limited (Sino-Rich) $2 million for...
May 18, 2025


Joint announcement on launch of Technology Enterprises Channel
The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong...
May 11, 2025


Pre-trial review fixed for prosecution of unlicensed advising on securities by finfluencer
The Eastern Magistrates’ Court today set down 24 July 2025 for a pre-trial review of the prosecution brought by the Securities and...
May 11, 2025


Digital currency exchange provider registration actions
Any business that provides digital currency (cryptocurrency) exchange (DCE) services must be registered with AUSTRAC. We can refuse an...
May 11, 2025


SFC’s senior executives visit Abu Dhabi and Dubai to promote collaboration on virtual assets
The Securities and Futures Commission’s (SFC) Executive Director of Intermediaries, Dr Eric Yip, and Director of Intermediaries & Head of...
May 11, 2025


SFC reprimands and fines Interactive Brokers Hong Kong Limited $4.2 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) $4.2 million for...
May 2, 2025


SFC bans Kao Cheng Yung for six months
The Securities and Futures Commission (SFC) has prohibited Mr Kao Cheng Yung, a former responsible officer (RO), manager-in-charge of...
Apr 27, 2025
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