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
11 Nov 2019 SFC reprimands and fines UBS HK$400 million for overcharging clients and related internal control failures
7 Nov 2019 SFC obtains court orders against former Chairman and directors of Minth Group Limited
7 Nov 2019 Former staff of Hong Kong Television Network Limited jailed for insider dealing
6 Nov 2019 New speech by Ashley Alder: Opening remarks at SFC 30th Anniversary Cocktail 2019
6 Nov 2019 SFC adopts new approach to virtual asset trading platforms
6 Nov 2019 New speech by Ashley Alder – Fintech: a regulatory strategy for a dynamic industry
6 Nov 2019 SFC bans Song Baojun for 12 months
5 Nov 2019 Former staff of Hong Kong Television Network Limited convicted of insider dealing
5 Nov 2019 SFC issues restriction notice to Hong Kong Wan Kiu Investment Company Limited
31 Oct 2019 SFC commences MMT proceedings against China Medical & Healthcare Group Limited and its senior management for alleged late disclosure of inside information
31 Oct 2019 SFC issues guidance on external electronic data storage
31 Oct 2019 SFC reprimands and fines China Rise Securities Asset Management Company Limited $6.3 million for regulatory breaches and internal control failures
24 Oct 2019 SFC commences insider dealing prosecution against a former staff of Hong Kong Television Network Limited
21 Oct 2019 New speech by Julia Leung: Supervising sponsors in a changing IPO landscape
8 Oct 2019 SFC concludes consultation on the enhanced Investor Compensation Regime
8 Oct 2019 SFC seeks compensation and disqualification orders against Perfect Optronics Limited’s chairman and board members
4 Oct 2019 SFC obtains disqualification orders against former chairman and executive directors of Inno-Tech Holdings Limited
3 Oct 2019 SFC reprimands and fines SEAVI Advent Ocean Private Equity Limited $1 million
2 Oct 2019 Takeovers Panel: Broadford Global Limited not permitted to deduct dividend from offer price
2 Oct 2019 SFC bans Vincent Ng Lok Kan for 30 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.