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Regulatory News


SFC reprimands and fines Guosen Securities (HK) Brokerage Company
The Securities and Futures Commission (SFC) has reprimanded and fined Guosen Securities (HK) Brokerage Company, Limited (Guosen) $2.8...
Dec 21, 2022


SFC suspends Wang Pei Yi for 10 months
The Securities and Futures Commission (SFC) has suspended Ms Wang Pei Yi, a former licensed representative of SinoPac Securities (Asia)...
Dec 15, 2022


SFC fines and suspends Chung Tung Sau for seven months
The Securities and Futures Commission (SFC) has suspended Mr Chung Tung Sau, a former licensed representative of Quam Securities Company...
Dec 15, 2022


Statement on virtual asset arrangements claiming to offer returns to investors
The Securities and Futures Commission (SFC) wishes to remind investors of the risks associated with virtual asset (VA) platforms offering...
Dec 13, 2022


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
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