SFC commences insider dealing prosecution against Segantii Capital Management and its chief investment officer
The Securities and Futures Commission (SFC) has commenced criminal proceedings against Segantii Capital Management Limited (Segantii),...
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SFC
- 4 days ago
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of TerrorismEarly Alert on United Nations Sanctions
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
SFC
- Apr 29
SFC and HKEX collaborate in enforcement action against Main Board-listed company over dubious investment and financial arrangements
The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (Exchange) have joined hands in an enforcement...
SFC
- Apr 29
SFC issues restriction notices to two brokers to freeze accounts of client involved in suspected corporate misconduct
The Securities and Futures Commission (SFC) has issued restriction notices to Futu Securities International (Hong Kong) Limited (Futu)...
SFC
- Apr 29
Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited-Licence Holders Insurance Scheme for Exchange Participants
This circular sets out the arrangements of the licence holders insurance scheme applicable to the following categories of licensed...
SFC
- Apr 29
Court convicts two former licensees of false trading
The Eastern Magistrates’ Courts today convicted two former licensees, Mr Yip Chi Wing and Mr Tsoi Chiu Kwan of false trading in the...
SFC
- Apr 29
SFC commences MMT proceedings against Dan Form’s company secretary and three others over suspected insider dealing
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Ms Cynthia Chen Si...
SFC
- Apr 29
Case consolidation for first ramp-and-dump criminal prosecution at District Court
The District Court today granted an application by the Department of Justice to consolidate an existing ramp-and-dump case involving a...
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