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Regulatory News


SFC publishes review of SEHK’s performance in regulating listing matters
The Securities and Futures Commission (SFC) today released a report on its review of the performance of The Stock Exchange of Hong Kong...
Dec 31, 2024


SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
The Securities and Futures Commission’s (SFC) senior executives joined more than 200 financial industry participants today to witness the...
Dec 3, 2024


China Forestry’s former chairman and CEO sanctioned for market misconduct
The Market Misconduct Tribunal (MMT) has ordered Mr Li Han Chun, the former chief executive officer (CEO) of China Forestry Holdings...
Dec 3, 2024


SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
The Securities and Futures Commission (SFC) has issued restriction notices to four brokers, prohibiting them from dealing with or...
Nov 24, 2024


SFC suspends Wang Shian-tang for 26 months
The Securities and Futures Commission (SFC) has suspended the licence of Mr Wang Shian-tang, a former licensed representative of Yuanta...
Nov 24, 2024


SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice prohibiting Bright Smart Securities International (H.K.)...
Nov 24, 2024


SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Sui Guangyi,...
Nov 17, 2024


District Court sets next hearing date for three sophisticated ramp-and-dump cases
Nineteen defendants of three large-scale ramp-and-dump cases appeared at the District Court today for suspected securities-related fraud...
Nov 17, 2024
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