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Aug 18, 20221 min read
Retail investors convicted and fined for illegal short selling
The Eastern Magistrates’ Court today convicted Ms Chan Siu Tai and her sister Ms Janice Chan after they pleaded guilty to illegal short...

Aug 17, 20222 min read
SFC issues restriction notice to a broker to freeze client account linked to suspected insider deal
The Securities and Futures Commission (SFC) has issued a restriction notice to Bright Smart Securities International (H.K.) Limited...

Aug 16, 20221 min read
SFC commences MMT proceedings against hedge fund manager over alleged false trading
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Jonathan Dominic...

Aug 12, 20221 min read
Regulators to enhance Stock Connect trading calendar
The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) today jointly announced their...

Aug 1, 20223 min read
SFC reprimands and fines TC Capital International Limited $3 million and suspends its responsible of
The Securities and Futures Commission (SFC) has reprimanded and fined TC Capital International Limited (TC Capital) $3 million for...

Jul 28, 20222 min read
SFC reprimands and fines KTF Capital Management Limited $400k for breaching Financial Resources Rule
The Securities and Futures Commission (SFC) has reprimanded and fined KTF Capital Management Limited (KTFCM) (formerly known as Forchn...

Jul 28, 20222 min read
SFC bans Chan Ka Hey for 6 months
The Securities and Futures Commission (SFC) has banned Mr Chan Ka Hey, a former relevant individual of Standard Chartered Bank (Hong...

Jul 25, 20222 min read
SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Rifa Futures Limited (Rifa) $9 million for failures in complying...
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