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Regulatory News
SFC issues restriction notice to a broker to freeze client account linked to suspected insider deal
The Securities and Futures Commission (SFC) has issued a restriction notice to Bright Smart Securities International (H.K.) Limited...
Aug 17, 2022
SFC commences MMT proceedings against hedge fund manager over alleged false trading
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Jonathan Dominic...
Aug 16, 2022
Regulators to enhance Stock Connect trading calendar
The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) today jointly announced their...
Aug 12, 2022
SFC reprimands and fines TC Capital International Limited $3 million and suspends its responsible of
The Securities and Futures Commission (SFC) has reprimanded and fined TC Capital International Limited (TC Capital) $3 million for...
Aug 1, 2022
SFC reprimands and fines KTF Capital Management Limited $400k for breaching Financial Resources Rule
The Securities and Futures Commission (SFC) has reprimanded and fined KTF Capital Management Limited (KTFCM) (formerly known as Forchn...
Jul 28, 2022
SFC bans Chan Ka Hey for 6 months
The Securities and Futures Commission (SFC) has banned Mr Chan Ka Hey, a former relevant individual of Standard Chartered Bank (Hong...
Jul 28, 2022
SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Rifa Futures Limited (Rifa) $9 million for failures in complying...
Jul 25, 2022
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