HKSFC News

SFC endorses Stock Exchange of Hong Kong’s initiative to tackle backdoor listings
SFC endorses Stock Exchange of Hong Kong’s initiative to tackle backdoor listings
The Hong Kong Securities and Futures Commission (SFC) has shared its support of the proposals in the Stock Exchange of Hong Kong Limited’s (Exchange) consultati...
Company News 3 months ago (06-29)
DBA Telecommunication (Asia) Holdings Limited fined $20,000 by SFC
DBA Telecommunication (Asia) Holdings Limited fined $20,000 by SFC
The Eastern Magistrates’ Court has announced that it has today convicted DBA Telecommunication (Asia) Holdings Limited (DBA) after it pleaded guilty to making a...
Company News 3 months ago (06-28)
SFC proposes margin requirements for non-centrally cleared OTC derivatives
SFC proposes margin requirements for non-centrally cleared OTC derivatives
The Hong Kong Securities and Futures Commission (SFC) has today launched a two-month consultation on proposals to impose margin requirements for non-centrally c...
Company News 3 months ago (06-19)
Hong Kong SFC fines individual $80,000
Hong Kong SFC fines individual $80,000
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded Mr Lau Ki Fung, a former account executive of KGI Asia Limited (KGI), an...
Company News 3 months ago (06-12)
CBIRC and Hong Kong SFC sign MoU
CBIRC and Hong Kong SFC sign MoU
The China Banking and Insurance Regulatory Commission (CBIRC) and the Hong Kong Securities and Futures Commission (SFC) have announced that they have entered in...
Company News 4 months ago (06-08)
SFC imposes a cold-shoulder order against individual
SFC imposes a cold-shoulder order against individual
The Hong Kong Securities and Futures Commission (SFC) announced that it has publicly censured and imposed a 24-month cold-shoulder order against Chan Shing for...
Company News 4 months ago (06-08)
SFC signs MoU with BaFin on enhanced supervision of cross-border regulated entities
SFC signs MoU with BaFin on enhanced supervision of cross-border regulated entities
The Hong Kong Securities and Futures Commission (SFC) announced that it has entered into a memorandum of understanding (MoU) with the German Bundesanstalt für F...
Company News 4 months ago (06-06)
SFC fines Hang Seng Investment Management Limited $3 million for regulatory breaches
SFC fines Hang Seng Investment Management Limited $3 million for regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) has informed that it has reprimanded and fined Hang Seng Investment Management Limited (HSIM) $3 million f...
Company News 4 months ago (05-31)
SFC fines Noah Holdings Limited HK$5 million for regulatory breaches
SFC fines Noah Holdings Limited HK$5 million for regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) announced that it has publicly reprimanded and fined Noah Holdings (Hong Kong) Limited (Noah HK) HK$5 mill...
Company News 4 months ago (05-29)
SFC concludes consultation on prescribing professional investors
SFC concludes consultation on prescribing professional investors
The Hong Kong Securities and Futures Commission (SFC) today released consultation conclusions on proposed amendments to the Securities and Futures (Professional...
Company News 4 months ago (05-18)
SFC fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
SFC fines Citigroup Global Markets Asia Limited $57 million for sponsor failures
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded and fined Citigroup Global Markets Asia Limited (Citi) $57 million after...
Company News 4 months ago (05-17)
Hong Kong SFC highlights concerns noted in licensing applications
Hong Kong SFC highlights concerns noted in licensing applications
The Securities and Futures Commission (SFC) today published the latest issue of its SFC Compliance Bulletin: Intermediaries to highlight its concerns when it co...
Company News 4 months ago (05-16)
SFC commences MMT proceedings against Magic Holdings International Limited
SFC commences MMT proceedings against Magic Holdings International Limited
The Hong Kong Securities and Futures Commission (SFC) announced that it has commenced proceedings in the Market Misconduct Tribunal (MMT) against Magic Holdings...
Company News 4 months ago (05-15)
Licence applicant convicted of providing false information to SFC
Licence applicant convicted of providing false information to SFC
The Eastern Magistrates’ Court convicted Mr Lui Ho Yeung after he pleaded guilty to two counts of making false or misleading representations in support of his l...
Company News 4 months ago (05-11)
Hong Kong SFC CEO reappointed Chair of IOSCO Board
Hong Kong SFC CEO reappointed Chair of IOSCO Board
The Securities and Futures Commission (SFC) has just announced that its Chief Executive Officer, Mr Ashley Alder, has been reappointed as Chair of the new Board...
Company News 4 months ago (05-11)
SFC proposes enhancements to the Investor Compensation Regime
SFC proposes enhancements to the Investor Compensation Regime
The Hong Kong Securities and Futures Commission (SFC) has informed the public that it has today launched a two-month consultation on proposed enhancements to th...
Company News 5 months ago (04-27)
SFC fines CN Capital Management Limited $1.2 million over regulatory breaches
SFC fines CN Capital Management Limited $1.2 million over regulatory breaches
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded CN Capital Management Limited (CN Capital) and fined it $1,000,000 for f...
Company News 5 months ago (04-24)
SFC fines Instinet Pacific Limited $17.3 million
SFC fines Instinet Pacific Limited $17.3 million
The Hong Kong Securities and Futures Commission (SFC) has announced that it has reprimanded and fined Instinet Pacific Limited (IPL) $17.3 million after resolvi...
Company News 5 months ago (04-13)
SFC to disqualify former senior executives of Far East Holdings International Limited
SFC to disqualify former senior executives of Far East Holdings International Limited
The Hong Kong Securities and Futures Commission (SFC) has announced that it has commenced legal proceedings in the Court of First Instance to seek disqualificat...
Company News 5 months ago (04-11)
Hong Kong SFC charges Fujikon and its senior executives
Hong Kong SFC charges Fujikon and its senior executives
The Hong Kong Securities and Futures Commission (SFC) has just announced that it commenced proceedings in the Market Misconduct Tribunal (MMT) against Fujikon I...
Company News 5 months ago (04-10)
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