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
18 Apr 2019 SFC reprimands and fines Nine Masts Capital Limited $1.2 million over naked short selling
12 Apr 2019 Market Misconduct Tribunal fines Fujikon, its CEO and CFO $1.5 million in total for late disclosure of inside information
11 Apr 2019 Former director of DBA Telecommunication (Asia) Holdings Limited convicted of issuing false or misleading announcement
11 Apr 2019 SFC commences insider dealing prosecution against legal adviser
11 Apr 2019 SFC publishes guidance on enhanced disclosures for green or ESG funds
10 Apr 2019 SFC publicly criticises Kwok Tse Wah for breaches of Takeovers Code
4 Apr 2019 SFC concludes consultation on securities margin financing
28 Mar 2019 Appointments to SFC committees
22 Mar 2019 New speech by Ashley Alder: Remarks at Bloomberg BuySide Summit 2019
20 Mar 2019 SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
18 Mar 2019 SFC reprimands and fines BOCI Securities Limited HK$10 million for regulatory breaches in selling investment products
14 Mar 2019 SFC reprimands and fines Merrill Lynch Far East Limited $128 million for sponsor failures
14 Mar 2019 SFC reprimands and fines Morgan Stanley Asia Limited $224 million for sponsor failures
14 Mar 2019 SFC reprimands and fines Standard Chartered Securities $59.7 million for sponsor failures
14 Mar 2019 SFC fines UBS $375 million and suspends its licence for one year for sponsor failures
7 Mar 2019 SFC seeks disqualification orders against former directors of Luxey International (Holdings) Limited
6 Mar 2019 SFC welcomes appointment of Non-Executive Directors
27 Feb 2019 SFC suspends CMS’s former responsible officer Wu Yinong for 18 months
26 Feb 2019 Court of Appeal dismisses appeal by Andrew Left
22 Feb 2019 SFC issues quarterly report

Showing 1 - 20 of 32

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.