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
15 Jul 2019 SFC reprimands and fines Lee’s Securities Company Limited $520,000 for internal control failings
15 Jul 2019 SFC suspends Hui Kwok Piu for illegal short selling
15 Jul 2019 SFC reprimands and fines Glory Sun Securities Limited $1.2 million and suspends its current and former responsible officers
12 Jul 2019 SFC bans Song Peng for 10 months
11 Jul 2019 SFC publicly criticises CM Asset Management (Hongkong) Company Limited for breaches of Takeovers Code
10 Jul 2019 SFC reprimands and fines Celestial Commodities Limited and Celestial Securities Limited $6.3 million for mishandling client money
3 Jul 2019 Signing of Tri-partite MoU on audit working papers by Ministry of Finance, CSRC and SFC
3 Jul 2019 SFC bans Goldman Sachs (Asia) L.L.C. former responsible officer Tim Leissner for life
28 Jun 2019 Regulators conclude consultation on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
26 Jun 2019 SFC and ICAC search sponsor firms
25 Jun 2019 Market Misconduct Tribunal fines Health and Happiness and its chairman $3.2 million in total for late disclosure of inside information
25 Jun 2019 SFC issues restriction notices to 14 brokers to freeze client accounts linked to suspected market manipulation of Smartac Group China Holdings Limited
25 Jun 2019 SFC issues restriction notices to nine brokers to freeze client accounts linked to suspected market manipulation of China Ding Yi Feng shares
24 Jun 2019 SFAT affirms SFC decision to reprimand and fine FT Securities Limited $3.5 million
21 Jun 2019 New speech by Julia Leung: Keynote speech at 2019 Risk Hong Kong Conference
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

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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.