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2 days ago2 min read
SFC bans Chan Ka Him for life for insurance fraud
The Securities and Futures Commission (SFC) has banned Mr Chan Ka Him, a former insurance specialist of Standard Chartered Bank (Hong...
Jan 52 min read
SFC secures first conviction against a solicitor for breaching secrecy provision
A Hong Kong practicing solicitor, Mr Tse Yin Fung, was convicted today at the Eastern Magistrates’ Courts for violating the secrecy...
Dec 31, 20242 min read
Mainland-Hong Kong Mutual Recognition of Funds enhancements to take effect on 1 January 2025
The Securities and Futures Commission (SFC) welcomes the publication today of the revised Provisions on the Administration of Recognised...
Dec 31, 20242 min read
SFC publishes review of SEHK’s performance in regulating listing matters
The Securities and Futures Commission (SFC) today released a report on its review of the performance of The Stock Exchange of Hong Kong...
Dec 3, 20242 min read
SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
The Securities and Futures Commission’s (SFC) senior executives joined more than 200 financial industry participants today to witness the...
Dec 3, 20242 min read
China Forestry’s former chairman and CEO sanctioned for market misconduct
The Market Misconduct Tribunal (MMT) has ordered Mr Li Han Chun, the former chief executive officer (CEO) of China Forestry Holdings...
Nov 24, 20241 min read
SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
The Securities and Futures Commission (SFC) has issued restriction notices to four brokers, prohibiting them from dealing with or...
Nov 24, 20242 min read
SFC suspends Wang Shian-tang for 26 months
The Securities and Futures Commission (SFC) has suspended the licence of Mr Wang Shian-tang, a former licensed representative of Yuanta...
Nov 24, 20242 min read
SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice prohibiting Bright Smart Securities International (H.K.)...
Nov 17, 20242 min read
SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Sui Guangyi,...
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