All news

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

Date Title
19 Jun 2019 SFC reprimands and fines Credit Suisse (Hong Kong) Limited and Credit Suisse AG $2.8 million for regulatory breaches
19 Jun 2019 SFC publishes Annual Report 2018-19
17 Jun 2019 New speeches by Julia Leung: Opening remarks at SFC Compliance Forum 2019
14 Jun 2019 SFC and CSRC hold high-level enforcement cooperation meeting
10 Jun 2019 New speech by Tim Lui: Speech at Hong Kong Institute of Directors Speaker Luncheon Meeting
4 Jun 2019 SFC seeks disqualification order against former chief financial officer of Fujian Nuoqi Co., Ltd.
30 May 2019 SFC reprimands and fines China Merchants Securities (HK) Co., Limited $5 million for mishandling client money
28 May 2019 SFC bans Wong Ka Hang for nine months
27 May 2019 SFC reprimands and fines China Merchants Securities (HK) Co., Limited $27 million for sponsor failures
24 May 2019 Court of Appeal dismisses leave application of Andrew Left
23 May 2019 Futures trader Tsoi Wan convicted of market manipulation
16 May 2019 SFC bans Wang Can for 30 months
16 May 2019 SFC suspends Gransing Securities’s chairperson Oei Hong Eng for eight months
16 May 2019 SFC-ICAC operation leads to charging of ex-Convoy director Cho Kwai Chee
15 May 2019 SFC and AFM sign MoU on Netherlands-Hong Kong Mutual Recognition of Funds
26 Apr 2019 Consultation on further enhancements to the OTC derivatives regime
26 Apr 2019 Retrial of insider dealing case after Court of Final Appeal dismisses leave application to appeal
26 Apr 2019 Appointments and re-appointments to SFC Advisory Committee
26 Apr 2019 SFC welcomes re-appointment of Executive Director
23 Apr 2019 SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 10 months

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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.