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Regulatory News


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


Court convicts two former licensees of false trading
The Eastern Magistrates’ Courts today convicted two former licensees, Mr Yip Chi Wing and Mr Tsoi Chiu Kwan of false trading in the...
Apr 29, 2024


SFC commences MMT proceedings against Dan Form’s company secretary and three others over suspected insider dealing
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Ms Cynthia Chen Si...
Apr 29, 2024


Case consolidation for first ramp-and-dump criminal prosecution at District Court
The District Court today granted an application by the Department of Justice to consolidate an existing ramp-and-dump case involving a...
Apr 29, 2024


Joint circular to intermediaries Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
During a concurrent thematic review1 of the distribution of non-exchange traded investment products by intermediaries, the Securities and...
Apr 22, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Apr 22, 2024
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