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Insurance Authority issues a public reprimand and imposes a fine on Tahoe Life Insurance Company Limited
The Insurance Authority (IA) has issued a public reprimand on Tahoe Life Insurance Company Limited (Tahoe Life) and imposed a fine of $10...
Sep 7, 20251 min read


SFC suspends former Agg. Asset Management responsible officer Chow Tsz Lam for 12 months for fund management failures
The Securities and Futures Commission (SFC) has suspended Mr Chow Tsz Lam, a former responsible officer (RO) and manager-in-charge of...
Sep 7, 20252 min read


SFC-HKMA joint survey shows record investment product sales and market participation in 2024
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) today published the findings of their annual...
Sep 7, 20254 min read


SFC revokes the licence of Nerico Brothers Limited and bans its senior management for life
The Securities and Futures Commission (SFC) has revoked the licence of Nerico Brothers Limited (NBL) for facilitating misappropriation of...
Aug 31, 20253 min read


Granting of restricted banking licence to ABN AMRO Clearing Bank N.V.
The Hong Kong Monetary Authority announced today (29 August) that the Monetary Authority has granted a restricted banking licence to ABN...
Aug 31, 20251 min read


SFC revokes the licence of Amber Hill Capital Limited and bans its senior management for life
The Securities and Futures Commission (SFC) has revoked the licence of Amber Hill Capital Limited (AHCL) for facilitating...
Aug 31, 20254 min read


Wong Pak Ming to stand trial for insider dealing after pleading not guilty
The criminal trial of the insider dealing prosecution brought by the Securities and Futures Commission (SFC) against businessman Mr Wong...
Aug 31, 20251 min read


SFC seeks court order to freeze assets up to $62.5 million for investor compensation in sophisticated ramp-and-dump case
The Securities and Futures Commission (SFC) has applied for an order from the Court of First Instance to freeze assets intended for...
Aug 31, 20252 min read


Enforcement collaboration between HKMA and SFC - SFC reprimands and fines HSBC HK$4.2 million for disclosure failures in research reports
The Securities and Futures Commission (SFC) has reprimanded and fined The Hongkong and Shanghai Banking Corporation Limited (HSBC) HK$4.2...
Aug 31, 20252 min read
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