Latest news

SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings
October 22, 2020

22 Oct 2020  SFC has reprimanded and fined Goldman Sachs Asia HK$2.71 billion for serious [...]

Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
October 19, 2020

16 Oct 2020 The Market Misconduct Tribunal (MMT) has found that CMBC Capital Holdings Limited [...]

SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code
October 16, 2020

SFC has publicly censured and imposed a 24-month cold-shoulder order against So Yuk Kwan for [...]

2020: A Year Of Listening & Re-Learning For Resilience Under POST COVID-19
October 12, 2020

By Dr Shirley Yeung To celebrate the 75th anniversary of the United Nations South-South Cooperation [...]

SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures
October 7, 2020

The Securities and Futures Appeals Tribunal (SFAT) has affirmed the decision of the SFC to [...]

Circular providing Interpretation Notes relating to the Guideline on Offering of Gifts (GL25) and the Guideline on Long Term Insurance Policy Replacement (GL27)
September 23, 2020

22 Sep 2020 The IA issues these Interpretation Notes with the aim of providing further [...]

SFC suspends Mung Wai Sun for nine months
September 23, 2020

21 Sep 2020 The SFC has suspended Mr Mung Wai Sun, a former licensed representative [...]

SFC launches consultation on anti-money laundering guidelines
September 21, 2020

18 Sep 2020 The SFC today launched a three-month consultation on proposals to amend its [...]

SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches
September 18, 2020

17 Sep 2020 The SFC has reprimanded The Bank of East Asia, Limited (BEA) and [...]

SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code
September 18, 2020

16 Sep 2020 The SFC Takeovers Executive has today commenced disciplinary proceedings before the Takeovers [...]

SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures
September 18, 2020

16 Sep 2020 The SFC has prohibited Mr Fabian Shin Yick, a former responsible officer [...]

Retail investor convicted of false trading
September 18, 2020

14 Sep 2020 The Eastern Magistrates’ Court has convicted Mr Ke Wen Hua of false [...]