Securities & Futures Commission of Hong Kong

Upcoming hearings calendar

The calendar gives an overview of upcoming hearings that arise from our enforcement investigations. These include prosecutions of criminal offences in various courts, disciplinary hearings before the Securities and Futures Tribunal and civil applications before the Court of First Instance. 

You can find in the calendar dates and venues of hearings, names of parties and status of hearings. Final outcomes of the hearings are published as news releases in the Enforcement news section.

> Full list of hearings

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January 2017    
February 2017    
April 2017    
S M T W T F S
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June 2017    
July 2017    
August 2017    
September 2017    
October 2017    
November 2017    
December 2017    
Date of Hearing / court Status Offence Defendent
date to be fixed

Court of Appeal
Pending judgement

S114(3)(a) of SFO, S114(9) of SFO

(Performing a regulated function in relation to a regulated activity carried on as a business, without a licence )

SZE Ching Lok, Lawrence
date to be fixed

Court of Appeal
Pending judgement

S114(1)(a) of SFO, S114(8) of SFO

(Carrying on a business of advising on futures contracts and dealing in securities without a licence)

Hong Kong Game Theory Association Ltd [香港博奕研究協會有限公司]
date to be fixed

Court of Appeal
Appeal by case stated

S114(1)(a) of SFO, S114(1)(b) of SFO, S114(8) of SFO

(On appeal by DOJ (date to be fixed).

Offence: Carrying on and holding out as carrying on a business of dealing in securities without a licence)

IPFUND ASSET MANAGEMENT LIMITED
date to be fixed

Court of Appeal
Appeal by case stated

S114(1)(a) of SFO, S114(1)(b) of SFO, S114(8) of SFO, S390(1) of SFO

(On appeal by DOJ (date to be fixed).

Offence: Carrying on and holding out as carrying on a business of dealing in securities without a licence)

SIN CHUNG YIN, RONALD [冼仲彥]
date to be fixed

Eastern
For show cause (arrest warrant) S291(1)(a) of SFO, S291(8) of SFO
(Insider Dealing)
TANG Yan Tian Michael [唐彥田]
date to be fixed

Eastern
For show cause (arrest warrant) S291(5) of SFO, S291(8) of SFO
(Insider Dealing)
PAN Caihong [潘彩虹]
date to be fixed

Eastern
For show cause (arrest warrant) S300(1)(b) of SFO, S300(2) of SFO
(Fraud involving securities)
MEI Anthony Hsiao Tung [梅曉東]
date to be fixed

Eastern
For show cause (arrest warrant) S295(3) of SFO, S295(6) of SFO
(Creating an artificial price for dealings in securities)
MEI Anthony Hsiao Tung [ 梅曉東]
date to be fixed

Eastern
For show cause (arrest warrant)

S291(1)(a) of SFO, S291(8) of SFO

(Insider dealing)

TANG Xian [唐嫻]
date to be fixed

Eastern
Pending judgement

S170(1) of SFO, S170(4) of SFO

(unlawful short selling)

WONG Hung [黃鴻]
12 - 14 June 2017

Eastern
Trial

S384(1) of SFO, S384(6) of SFO

(Provision of false or misleading statement to the SFC in submitting the Form 5 notification to LIC by QMIS (3-day English trial))

QMIS Securities Limited [華亞證券有限公司]
12 - 14 June 2017

Eastern
Trial

S384(1) of SFO, S384(6) of SFO, S390 of SFO

(Provision of false or misleading statement to the SFC in submitting the Form 5 notification to LIC by QMIS (3-day English trial))

HUANG Kuang-Cheng [黃光正]
22 June 2017

Eastern
For mention

S310(1)(a) of SFO, S313(1)(c) of SFO, S324 of SFO, S325(1)(a) of SFO, S328(a)(ii) of SFO

(Failure to perform a duty of disclosure within the specified period)

CHAN Yuen Tung [陳遠東]
26 July 2017

Eastern
For mention

S291(5)(a) of SFO, S291(8) of SFO

(Insider Dealing)

MUI Ka Leung Anson [梅家樑]
26 July 2017

Eastern
For mention

S291(1)(b) of SFO, S291(8) of SFO, S291(3) of SFO

(Insider Dealing)

LAM Yik Tung [林易彤]
26 July 2017

Eastern
For mention

​S291(5)(a) of SFO, S291(8) of SFO

(Insider Dealing)

CHAN Lit Chun [陳烈鎮]
18 October 2017

Eastern
Pre-trial review

S114(1)(a) of SFO, S114(8) of SFO, S115(1)(a) of SFO, S115(1)(b) of SFO, S115(1)(i) of SFO, S89 of CPO

(Carrying on a business of dealing in securities without a licence)

ETRADE Securities (Hong Kong) Limited [億創證券(香港)有限公司]
18 October 2017

Eastern
Pre-trial review

S114(1)(b) of SFO, S114(8) of SFO, S115(1)(a) of SFO, S115(1)(b) of SFO, S115(1)(ii) of SFO, S89 of CPO

(Holding out as carrying on a business of dealing in securities without a licence)

ETRADE Securities (Hong Kong) Limited [億創證券(香港)有限公司]
01 - 09 November 2017

Eastern
Trial

​S114(1)(a) of SFO, S114(8) of SFO, S115(1)(a) of SFO, S115(1)(b) of SFO, S115(1)(i) of SFO, S89 of CPO

(Carrying on a business of dealing in securities without a licence)

ETRADE Securities (Hong Kong) Limited [億創證券(香港)有限公司]
01 - 09 November 2017

Eastern
Trial

S114(1)(b) of SFO, S114(8) of SFO, S115(1)(a) of SFO, S115(1)(b) of SFO, S115(1)(ii) of SFO, S89 of CPO

(Holding out as carrying on a business of dealing in securities without a licence)

ETRADE Securities (Hong Kong) Limited [億創證券(香港)有限公司]
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  Date of Hearing / court



Defendent:


Status:

Note: The dates of hearings may be not the same as those of the related news releases issued by the SFC.

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