Circular to intermediariesCybersecurity review of selected licensed corporations
The Securities and Futures Commission (SFC) will commence a cybersecurity review of selected licensed corporations (LCs) with a focus on...
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SFC
- Sep 13, 2023
Warning statement on unregulated virtual asset trading platform
The Securities and Futures Commission (SFC) is aware that a virtual asset trading platform (VATP) known as “JPEX” has been actively...
SFC
- Sep 11, 2023
SFC revokes Axial Capital Management Limited’s licence and suspends its RO for five years
The Securities and Futures Commission (SFC) has revoked the licence of Axial Capital Management Limited (Axial) for repeated failures to...
SFC
- Dec 21, 2022
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...
SFC
- Dec 15, 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)...
SFC
- 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...
SFC
- Dec 13, 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...
SFC
- Oct 12, 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...
SFC
- Oct 6, 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...
SFC
- Sep 29, 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...
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