All news

In this sub-section, you will find all news releases issued by the SFC. The list is in chronological order. Please use the filter to view items by year.

Date Title
21 Feb 2020 SFC issues quarterly report
18 Feb 2020 Court dismisses challenge to SFC’s investigative powers
14 Feb 2020 SFC reprimands and fines Capital Global Management Limited $1.5 million
11 Feb 2020 SFC reprimands and fines BMI Securities Limited $3.7 million and suspends its responsible officer for breaches of anti-money laundering regulatory requirements
10 Feb 2020 New speech by Tim Lui at The Hong Kong Institute of Chartered Secretaries Annual Dinner 2020
7 Feb 2020 Update on the SFC’s front-loaded regulatory approach
6 Feb 2020 SFC bans Christopher Tse for 12 months
5 Feb 2020 Arrangements relating to SFC’s public services
4 Feb 2020 Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
29 Jan 2020 SFC suspends Shiu Yau Wah for five months
22 Jan 2020 SFC to commence proceedings for suspected market manipulation in the shares of China Ding Yi Feng and lifts trading suspension
21 Jan 2020 SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
20 Jan 2020 SFC highlights importance of risk management
16 Jan 2020 Process Review Panel Report 2018-19
14 Jan 2020 SFC lifts suspension of UBS Securities Hong Kong Limited acting as sponsor
7 Jan 2020 SFC provides licensing guidance for private equity firms and family offices
6 Jan 2020 Court convicts unlicensed fund manager
2 Jan 2020 SFC reprimands and fines RHB Securities Hong Kong Limited $6.4 million

Showing 1 - 18 of 18

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Notes:

  1. In some of these documents, the names of certain individuals have been masked because:
    1. the individuals have met certain criteria for this treatment as set out under the Rehabilitation of Offenders Ordinance;
    2. the individuals received a public reprimand or public criticism over 10 years ago; or
    3. the news release was a public statement published over 10 years ago.
  2. The names of certain individuals in relevant press releases and Panel decisions / statements have been masked as 10 years have elapsed since the public criticism was made.
  3. The names of certain individuals in relevant press releases and Executive decisions / statements have been masked as 10 years have elapsed since the public criticism or public reprimand was made.