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
3 Apr 2020 SFC issues restriction notice to Agg. Asset Management Limited
1 Apr 2020 Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation
31 Mar 2020 Appointments to SFC committees
31 Mar 2020 SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers
27 Mar 2020 Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
27 Mar 2020 SFC issues guidance to fund industry amidst COVID-19 outbreak
25 Mar 2020 Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information
23 Mar 2020 SFC bans Mo Shau Wah for life
19 Mar 2020 SFC bans Chan Tan Lo for 14 months
16 Mar 2020 New SFC-SEHK announcement
26 Feb 2020 SFC welcomes Budget measures
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

Showing 1 - 20 of 29

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.