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Regulatory News


SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former...
SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former senior executive Billy Wong Yim Chi for...
Oct 12, 2022


Thirteen people charged following SFC and Police joint operation against ramp-and-dump syndicate
Thirteen suspects were charged with various criminal offences following an earlier joint operation of the Securities and Futures...
Oct 6, 2022


SFAT affirms SFC decision to suspend hedge fund manager Christopher James Aarons
The Securities and Futures Commission (SFC) has suspended Mr Christopher James Aarons, responsible officer (RO) and chief executive...
Sep 29, 2022


Takeovers Panel rules on the price for the mandatory general offer for Suncity Group Holdings Ltd.
The Takeovers and Mergers Panel has ruled that the appropriate price for the general offer for Suncity Group Holdings Limited (Note 1) by...
Sep 7, 2022


SFC suspends Tang Kai Shing for eight months
The Securities and Futures Commission (SFC) has suspended Mr Tang Kai Shing, responsible officer (RO) and managing director of Rifa...
Sep 5, 2022


Takeovers Panel rules a special waiver from the general offer obligation ......
Takeovers Panel rules a special waiver from the general offer obligation may be granted to Broad Gongga for an involuntary disposal that...
Aug 30, 2022


Retail investors convicted and fined for illegal short selling
The Eastern Magistrates’ Court today convicted Ms Chan Siu Tai and her sister Ms Janice Chan after they pleaded guilty to illegal short...
Aug 18, 2022


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
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