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Regulatory News


SFC obtains disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.
The Securities and Futures Commission (SFC) has obtained a disqualification order in the Court of First Instance against Mr Au Yeung Ho...
Oct 28, 2024


SFC suspends Singh Amit Kishan for seven months
The Securities and Futures Commission (SFC) has suspended Mr Singh Amit Kishan, a former employee of Bank Julius Baer & Co. Ltd. (Julius...
Oct 28, 2024


SFC welcomes Chief Executive’s measures to boost Hong Kong capital markets
The Securities and Futures Commission (SFC) welcomes the initiatives in the Chief Executive’s Policy Address to further cement Hong...
Oct 21, 2024


SFC commences MMT proceedings against Dickson Poon over alleged insider dealing and Dickson Concepts as well as its senior executives for late disclosure of inside information
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against chairman of Dickson...
Oct 21, 2024


SFC reprimands and fines Zheshang International Financial Holdings Co., Limited $2.66 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Zheshang International Financial Holdings Co., Limited (Zheshang)...
Oct 21, 2024


Court sets next hearing date for insider dealing case against Segantii Capital Management and its chief investment officer
The District Court today adjourned to 19 December 2024 for mention the insider dealing case against Segantii Capital Management Limited,...
Oct 21, 2024


SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months
The Securities and Futures Commission (SFC) has reprimanded and fined Xinhu International Futures (Hong Kong) Co., Limited (Xinhu) $9...
Oct 14, 2024


SFC flags asset manager misconduct in managing private funds and discretionary accounts
The Securities and Futures Commission (SFC) today issued a circular flagging various deficiencies and substandard conduct identified...
Oct 14, 2024
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