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Regulatory News


SFC and HKEX collaborate in enforcement action against two former GEM-listed company directors for misconduct
The Securities and Futures Commission (SFC) and the Stock Exchange of Hong Kong Limited (Exchange) have joined hands in an enforcement...
Mar 11, 2024


First ramp-and-dump criminal prosecution at District Court commences
The first ramp-and-dump case for criminal prosecution at the District Court began today in proceedings brought by the Securities and...
Mar 4, 2024


Circular on disciplinary proceedings under Part 5B of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance
The Securities and Futures Commission (SFC) today published a guide entitled Disciplinary Proceedings at a Glance (for regulated persons...
Mar 4, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of TerrorismUnited Nations Sanctions (Haiti)
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Mar 4, 2024


SFC commences proceedings against Ding Yi Feng former chairman and to seek compensation for investors
The Securities and Futures Commission (SFC) has commenced proceedings in the Court of First Instance against former chairman and...
Mar 4, 2024


SFC secures first criminal conviction of securities fraud via illegal short selling
The Eastern Magistrates’ Court today convicted Ms Christine Yeung Tak Sum, an unemployed retail trader, after she pleaded guilty to...
Mar 4, 2024


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Feb 26, 2024


Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2023
As an annual exercise to collect information on asset and wealth management activities in Hong Kong for regulatory and market...
Feb 26, 2024
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