Latest news

Compliance updates
SFC alerts the public of unauthorised investment schemes
September 1, 2021

The investment arrangements included in this alert list have come to the SFC’s attention through [...]

Compliance updates
Circular on Operation of Bank accounts
July 7, 2021

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enforcement
Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information
May 12, 2021

12 May 2021 The Market Misconduct Tribunal (MMT) has fined China Medical & HealthCare Group [...]

Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares
April 7, 2021

[Enforcement] 7 Apr 2021 The Market Misconduct Tribunal (MMT) has sanctioned two former executives of [...]

Circular to intermediaries, responsible officers and licensed representatives Waiver of annual licensing fees
March 23, 2021

19 Mar 2021 The Securities and Futures Commission (SFC) will waive the annual licensing fees [...]

[Regulatory Updates] Circular to Licensed Corporations and Associated Entities – Anti-Money Laundering / Counter-Financing of Terrorism
March 10, 2021

(1)  FATF Statement on High-Risk Jurisdictions subject to a Call for Action Further to our [...]

enforcement update
SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures
February 22, 2021

 22 Feb 2021  The SFC has reprimanded Brilliance Asset Management Limited (Brilliance) and fined it [...]

SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
February 9, 2021

9 Feb 2021 The Securities and Futures Commission (SFC) has issued restriction notices to Enlighten [...]

enforcement
Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited share
February 3, 2021

3 Feb 2021 The Market Misconduct Tribunal (MMT) has ordered that Ms Li Yik Shuen [...]

regulatory update
AML/CFT Regtech: Case Studies and Insights
January 21, 2021

21 Jan 2021 HKMA published today (21 January 2021) a report titled “AML/CFT Regtech: Case [...]

HKEX STATEMENT ON STRUCTURED PRODUCTS
January 11, 2021

10 Jan 2021 Hong Kong Exchanges and Clearing Limited (HKEX) notes the decision to delist [...]

EXCHANGE’S DISCIPLINARY ACTION AGAINST SANDMARTIN INTERNATIONAL HOLDINGS LIMITED (STOCK CODE: 482) AND EIGHT OF ITS CURRENT AND FORMER DIRECTORS
January 11, 2021

22 Jan 2021  This case involves a settlement between the Company, the Relevant Directors (apart [...]