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Regulatory News


Two former brokers jailed for three months each for false trading
The Eastern Magistrates’ Court has sentenced two former licensees, Mr Yip Chi Wing and Mr Tsoi Chiu Kwan, to three months of imprisonment...
May 27, 2024


Circular on streamlined requirements for eligible exchange-traded funds adopting a master-feeder structure
Background Currently, an exchange-traded fund (ETF) adopting a master-feeder structure is permitted under the Code on Unit Trusts and...
May 20, 2024


SFC obtains interlocutory asset freezing order against Leung Anita Fung Yee Maria
The Securities and Futures Commission (SFC) has obtained an interim injunction order at the Court of First Instance against Ms Leung...
May 13, 2024


SFC commences insider dealing prosecution against Segantii Capital Management and its chief investment officer
The Securities and Futures Commission (SFC) has commenced criminal proceedings against Segantii Capital Management Limited (Segantii),...
May 6, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of TerrorismEarly Alert on United Nations Sanctions
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
May 6, 2024


SFC and HKEX collaborate in enforcement action against Main Board-listed company over dubious investment and financial arrangements
The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (Exchange) have joined hands in an enforcement...
Apr 29, 2024


SFC issues restriction notices to two brokers to freeze accounts of client involved in suspected corporate misconduct
The Securities and Futures Commission (SFC) has issued restriction notices to Futu Securities International (Hong Kong) Limited (Futu)...
Apr 29, 2024


Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited-Licence Holders Insurance Scheme for Exchange Participants
This circular sets out the arrangements of the licence holders insurance scheme applicable to the following categories of licensed...
Apr 29, 2024
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