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SFC commences MMT proceedings against Dan Form’s company secretary and three others over suspected insider dealing
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Ms Cynthia Chen Si...
Apr 29, 20242 min read


Case consolidation for first ramp-and-dump criminal prosecution at District Court
The District Court today granted an application by the Department of Justice to consolidate an existing ramp-and-dump case involving a...
Apr 29, 20241 min read


Joint circular to intermediaries Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
During a concurrent thematic review1 of the distribution of non-exchange traded investment products by intermediaries, the Securities and...
Apr 22, 20243 min read


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Apr 22, 20242 min read


SFC suspends dealings in Tianyun International Holdings Limited shares over massive missing corporate funds
The Securities and Futures Commission (SFC) has directed The Stock Exchange of Hong Kong Limited (SEHK) to suspend dealings in the shares...
Apr 16, 20244 min read


Joint Circular on Anti-Scam Consumer Protection Charter 2.0
Ref: HKMA/B1/15C HKMA/B9/67C INS/ADM/7/16 SU/CTC/2024/003 SFO/IS/015/2024 To: Chief Executives of all Authorized Institutions, Chief...
Apr 15, 20244 min read


SFC obtains court orders against former director and chief financial officer of Changgang Dunxin Enterprise Company Limited
The Securities and Futures Commission (SFC) has obtained compensation and disqualification orders in the Court of First Instance against...
Apr 15, 20243 min read


Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities Anti-Money Laundering /...
Apr 8, 20242 min read


SFC commences MMT proceedings against Ding Yi Feng former chairman over suspected market manipulation
The Securities and Futures Commission (SFC) has commenced proceedings in the Market Misconduct Tribunal (MMT) against Mr Sui Guangyi,...
Apr 1, 20242 min read


Circular to licensed corporations and management companies of SFC-authorised funds - Shortening of the US securities transaction settlement cycle to T+1
Effective 28 May 2024, the standard settlement cycle for transactions in US securities1 will be shortened from two business days after...
Apr 1, 20242 min read
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