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SFC and HKMA conclude on further proposals to enhance Hong Kong’s OTC derivatives reporting regime
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) today (26 September) jointly published the...
Sep 30, 20242 min read


SFC-HKMA joint survey shows strong rebound in sales of investment products in 2023
A joint survey by the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) on the sales of...
Sep 30, 20243 min read


Hong Kong’s securities industry extends earnings growth into first half of 2024
Hong Kong’s securities industry posted further growth in total net profits for the six months ended 30 June 2024 amidst higher average...
Sep 30, 20242 min read


SFC suspends Wilson Cheung Kin for nine months over sponsor failures
The Securities and Futures Commission (SFC) has suspended Mr Wilson Cheung Kin, a former responsible officer (RO) and director of...
Sep 30, 20242 min read


SFC bans Dennis Cheng Chung Sing for six months
The Securities and Futures Commission (SFC) has banned Mr Dennis Cheng Chung Sing, a former trader of Goldman Sachs (Asia) L.L.C. and...
Sep 30, 20242 min read


SFC secures first-of-its-kind settlement to compensate public shareholders of Combest Holdings Limited
The Securities and Futures Commission (SFC) has reached a settlement for three respondents to pay compensation of about $192 million to...
Sep 23, 20243 min read


SFC announces arrangements to facilitate distribution of research reports of eligible ETFs under Stock Connect
The Securities and Futures Commission (SFC) issued a circular today to set out the conditions that allow intermediaries to distribute...
Sep 16, 20242 min read


SFC bans Charles Lam Chung Yiu for life
The Securities and Futures Commission (SFC) has banned Mr Charles Lam Chung Yiu, a former associate director of UBS AG (UBS), from...
Sep 9, 20242 min read


SFC issues new guides for visiting and returning professionals to highlight pragmatic licensing options
The Securities and Futures Commission (SFC) today published two new quick reference guides to assist visiting and returning...
Sep 9, 20242 min read


SFC commences legal proceedings against SoftMedx Healthcare Limited, its former directors and de facto directors
The Securities and Futures Commission (SFC) has commenced legal proceedings under section 214 of the Securities and Futures Ordinance...
Sep 9, 20243 min read
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