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Regulatory News


SFC bans Jonathan Dominic Iu Wai Ching for 15 years
The Securities and Futures Commission (SFC) has prohibited Mr Jonathan Dominic Iu Wai Ching from re-entering the industry for 15 years...
Nov 10, 2024


SFC hosts forum to encourage responsible Regtech adoption for anti-money laundering and counter-financing of terrorism
The Securities and Futures Commission (SFC) concluded its forum to encourage the financial services sector to embrace regulatory...
Nov 10, 2024


SFC unveils first batch of brokers joining Wealth Management Connect Pilot Scheme
The Securities and Futures Commission (SFC) today announced 14 licensed corporations (LCs) are eligible to participate in the...
Nov 10, 2024


First immediate jail sentence for convicted unlicensed activity with a compensation order
The Eastern Magistrates’ Court today sentenced Ms Lai Ka Yi to two weeks’ imprisonment and ordered her to pay a sum of $98,000 as...
Nov 3, 2024


First court hearing on alleged share options fraud case
Mr Tsang Chung Yu, a former independent non-executive director of Metaverse Yunji Technology Group Company Limited (Metaverse Yunji) and...
Nov 3, 2024


SFC obtains court order to freeze $6.35 billion of assets belonging to suspected manipulators of Ding Yi Feng shares
The Court of First Instance has granted an interim injunction order against 11 suspected manipulators of shares of Ding Yi Feng Holdings...
Nov 3, 2024


SFC fast-tracks simple fund authorisation to bolster Hong Kong market appeal
The Securities and Futures Commission (SFC) will expedite the processing of applications from simple investment funds by launching the...
Oct 28, 2024


Joint Statement on Enhanced Timeframe for New Listing Application Process
The Securities and Futures Commission (the SFC ) and The Stock Exchange of Hong Kong Limited (the Exchange ), a wholly-owned subsidiary...
Oct 28, 2024
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