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
18 Sep 2020 SFC launches consultation on anti-money laundering guidelines
17 Sep 2020 SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches
16 Sep 2020 SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures
16 Sep 2020 SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code
14 Sep 2020 Retail investor convicted of false trading
11 Sep 2020 SFC statement on Police investigation concerning Next Digital shares
11 Sep 2020 Changes to the open-ended fund companies regime take effect
7 Sep 2020 SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors
3 Sep 2020 Former licensee convicted of providing false or misleading information to SFC
3 Sep 2020 SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation
2 Sep 2020 SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements
31 Aug 2020 SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited
31 Aug 2020 SFC bans Masy Lo Mee Chi for eight months
28 Aug 2020 Hong Kong-Mainland ETF cross-listing approved
26 Aug 2020 SFC bans TS’O Jing for life
25 Aug 2020 Hong Kong’s asset and wealth management business reports strong growth in 2019
20 Aug 2020 SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation
20 Aug 2020 SFC issues quarterly report
14 Aug 2020 SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
13 Aug 2020 SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited

Showing 1 - 20 of 90

1 2 3 4 5

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.