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
12 Aug 2020 SFC bans Chan Yiu Ting for 18 months
11 Aug 2020 Statement on Next Digital Limited
11 Aug 2020 SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation
8 Aug 2020 SFC statement on sanctions imposed by the US government
24 Jul 2020 Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities
19 Jul 2020 Policy Statement by the Securities and Futures Commission
9 Jul 2020 Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities
8 Jul 2020 Court of Final Appeal dismisses leave application of Andrew Left
7 Jul 2020 SFC bans Lai Wing Fat for 20 months
6 Jul 2020 SFC welcomes appointment of Non-Executive Directors
2 Jul 2020 SFC publishes review of SEHK’s performance in regulating listing matters
2 Jul 2020 SFC commences false trading prosecution against retail investor
30 Jun 2020 SFC office relocation
24 Jun 2020 Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
24 Jun 2020 SFC publishes Annual Report 2019-20
23 Jun 2020 SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months
22 Jun 2020 SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements
18 Jun 2020 SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code
11 Jun 2020 SFC publicly censures Fu Kwan for breach of the Takeovers Code
10 Jun 2020 OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements

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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.