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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, 20251 min read


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, 20252 min read


SFC’s senior executives visit Abu Dhabi and Dubai to promote collaboration on virtual assets
The Securities and Futures Commission’s (SFC) Executive Director of Intermediaries, Dr Eric Yip, and Director of Intermediaries & Head of...
May 11, 20251 min read


SFC reprimands and fines Interactive Brokers Hong Kong Limited $4.2 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) $4.2 million for...
May 2, 20251 min read


SFC bans Kao Cheng Yung for six months
The Securities and Futures Commission (SFC) has prohibited Mr Kao Cheng Yung, a former responsible officer (RO), manager-in-charge of...
Apr 27, 20252 min read


SFC sets out staking guidance for licensed virtual asset trading platforms and authorised virtual asset funds
The Securities and Futures Commission (SFC) today provided regulatory guidance respectively to licensed virtual asset trading platforms...
Apr 13, 20252 min read


Court further adjourns insider dealing hearing against Wong Pak Ming
The Eastern Magistrates’ Court has further adjourned the insider dealing case against Mr Wong Pak Ming to 25 April 2025 for mention in...
Mar 30, 20251 min read


Hong Kong’s securities industry posted broad-based growth in 2024
Hong Kong’s securities industry showed remarkable resilience in financial performance in 2024, with total net profits surging 56%...
Mar 30, 20251 min read


SFC reprimands and fines Enlighten Securities Limited $5 million and suspends its responsible officer for internal control failures over securities margin financing
The Securities and Futures Commission (SFC) has reprimanded and fined Enlighten Securities Limited (ESL) $5 million for internal control...
Mar 30, 20252 min read


District Court sets trial dates for three sophisticated ramp-and-dump cases
The District Court trial of three sophisticated ramp-and-dump cases involving the shares of Eggriculture Foods Limited, Fullwealth...
Mar 30, 20252 min read
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