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Regulatory News


Court of First Instance dismisses appeal by offender of unlicensed activity
Ms Lai Ka Yi began her two weeks’ imprisonment immediately after losing her appeal against her conviction and sentence for an unlicensed...
May 18, 2025


Court convicts brothers-in-law of false trading
The Eastern Magistrates’ Courts today convicted Mr Lin Tai Fung and his brother-in-law, Mr Or Chun Nin after they pleaded guilty to the...
May 18, 2025


SFC reprimands and fines Sino-Rich Securities & Futures Limited $2 million and suspends its responsible officer for failures in relation to margin lending practices
The Securities and Futures Commission (SFC) has reprimanded and fined Sino-Rich Securities & Futures Limited (Sino-Rich) $2 million for...
May 18, 2025


Then HKPC General Manager and three others charged by ICAC over $7m ITF funding fraud and false accounting
Three former employees and a client of the Hong Kong Productivity Council (HKPC) were charged by the ICAC today (May 13) for allegedly...
May 18, 2025


Julius Baer told to pay $5 million for money laundering control failures, source says
Swiss private bank Julius Baer (BAER.S), opens new tab has been ordered by the country's financial regulator to pay more than 4 million...
May 18, 2025


Joint announcement on launch of Technology Enterprises Channel
The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (the Exchange), a wholly-owned subsidiary of Hong...
May 11, 2025


Four audit staff charged by HK ICAC for alleged conspiracy to defraud over listing of Macao construction firm by false accounting
Four audit and consultant staff of an accounting firm and its sister company implicated in a corruption investigation by the Hong Kong...
May 11, 2025


Pre-trial review fixed for prosecution of unlicensed advising on securities by finfluencer
The Eastern Magistrates’ Court today set down 24 July 2025 for a pre-trial review of the prosecution brought by the Securities and...
May 11, 2025


Digital currency exchange provider registration actions
Any business that provides digital currency (cryptocurrency) exchange (DCE) services must be registered with AUSTRAC. We can refuse an...
May 11, 2025
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