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Dec 3, 20242 min read
SFC-backed launch event garners broad industry support for voluntary code of conduct for ESG ratings and data products providers
The Securities and Futures Commission’s (SFC) senior executives joined more than 200 financial industry participants today to witness the...


Dec 3, 20242 min read
China Forestry’s former chairman and CEO sanctioned for market misconduct
The Market Misconduct Tribunal (MMT) has ordered Mr Li Han Chun, the former chief executive officer (CEO) of China Forestry Holdings...


Nov 24, 20241 min read
SFC issues restriction notices to four brokers to freeze client accounts linked to suspected account hacking and market manipulation
The Securities and Futures Commission (SFC) has issued restriction notices to four brokers, prohibiting them from dealing with or...


Nov 24, 20242 min read
SFC suspends Wang Shian-tang for 26 months
The Securities and Futures Commission (SFC) has suspended the licence of Mr Wang Shian-tang, a former licensed representative of Yuanta...


Nov 24, 20242 min read
SFC withdraws Restriction Notice to broker over client’s suspected insider dealing after obtaining court order to freeze assets
The Securities and Futures Commission (SFC) has withdrawn the Restriction Notice prohibiting Bright Smart Securities International (H.K.)...


Nov 17, 20242 min read
SFC commences MMT proceedings against Ding Yi Feng’s former chairman and others over suspected manipulation of Smartac International Holdings Limited shares
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Sui Guangyi,...


Nov 17, 20241 min read
District Court sets next hearing date for three sophisticated ramp-and-dump cases
Nineteen defendants of three large-scale ramp-and-dump cases appeared at the District Court today for suspected securities-related fraud...


Nov 10, 20242 min read
SFC bans Jonathan Dominic Iu Wai Ching for 15 years
The Securities and Futures Commission (SFC) has prohibited Mr Jonathan Dominic Iu Wai Ching from re-entering the industry for 15 years...


Nov 10, 20242 min read
SFC hosts forum to encourage responsible Regtech adoption for anti-money laundering and counter-financing of terrorism
The Securities and Futures Commission (SFC) concluded its forum to encourage the financial services sector to embrace regulatory...


Nov 10, 20242 min read
SFC unveils first batch of brokers joining Wealth Management Connect Pilot Scheme
The Securities and Futures Commission (SFC) today announced 14 licensed corporations (LCs) are eligible to participate in the...
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