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
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
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

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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.