Tag Archives: SFC

SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures

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

Exchange’s Disciplinary Action against Xinming China Holdings Limited and its executive director

08 Jan 2021 Xinming China Holdings Limited (Stock Code: 2699) (“Company”); and Mr Chen Cheng [...]

SFC reprimands and fines Fulbright Securities Limited $3.6 million

 23 Dec 2020 SFC has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million [...]

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

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

SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures

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

SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors

7 Sep 2020 The SFC has commenced proceedings in the Market Misconduct Tribunal (MMT) against [...]

SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation

3 Sep 2020 The SFC has issued a restriction notice to Shenwan Hongyuan Securities (H.K.) [...]

Former licensee convicted of providing false or misleading information to SFC

3 Sep 2020 The Eastern Magistrates’ Court today convicted Mr Lau Tin Yau in a [...]

SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements

2 Sep 2020 The SFC today released consultation conclusions on enhancements to the open-ended fund [...]