Securities & Futures Commission of Hong Kong

Enforcement

The Securities and Futures Ordinance empowers us to mete out disciplinary measures and prosecute offenders to combat misconduct and crimes in the securities and futures markets. Our surveillance, inspection and disciplinary work extend beyond listed companies and licensees to market participants, including investors. In fighting market misconduct, we have recourse to the Market Misconduct Tribunal and the law courts. Where appropriate, we also work with domestic and overseas regulatory bodies to conduct various investigations.

You will find in this section:

Enforcement philosophy

Explains why we take enforcement actions and the principles that guide our enforcement actions.

Disciplinary proceedings

A 10-page document outlining the disciplinary measures available to the SFC, the investigation process and settlement, etc.

Enforcement actions

  1. Enforcement news
  2. Enforcement Reporter, a periodical on major enforcement actions
  3. Ad hoc issues

Upcoming hearings calendar

Updated on a weekly basis, the page lists open court hearings for criminal prosecutions, civil applications and applications before the Securities and Futures Appeals Tribunal.

Have you seen these people?

A list of people subject to arrest warrants and another list of people who we believe have information relevant to a current inquiry

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