Enforcement news

This sub-section covers enforcement actions taken and offers some insight on our approach to tackling market misconduct.


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Date Company/Name Action
14 Nov 2019 MA Sin Chi SFC bans Ma Sin Chi for life
11 Nov 2019 UBS AG 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 YIU Ka Lun Ken Former staff of Hong Kong Television Network Limited jailed for insider dealing
6 Nov 2019 SONG Baojun SFC bans Song Baojun for 12 months
5 Nov 2019 YIU Ka Lun Ken Former staff of Hong Kong Television Network Limited convicted of insider dealing
5 Nov 2019 Hong Kong Wan Kiu Investment Company Limited 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 China Rise Securities Asset Management Company Limited SFC reprimands and fines China Rise Securities Asset Management Company Limited $6.3 million for regulatory breaches and internal control failures
24 Oct 2019 YIU Ka Lun Ken SFC commences insider dealing prosecution against a former staff of Hong Kong Television Network Limited
8 Oct 2019 SFC seeks compensation and disqualification orders against Perfect Optronics Limited’s chairman and board members
4 Oct 2019 Inno-Tech Holdings Limited SFC obtains disqualification orders against former chairman and executive directors of Inno-Tech Holdings Limited
3 Oct 2019 SEAVI Advent Ocean Private Equity Limited SFC reprimands and fines SEAVI Advent Ocean Private Equity Limited $1 million
2 Oct 2019 NG Lok Kan Vincent SFC bans Vincent Ng Lok Kan for 30 months
27 Sep 2019 KGI Asia Limited SFC issues restriction notice to a broker to freeze client accounts related to a corporate officer’s suspected breach of duties
23 Sep 2019 YE Feng, Jeff SFC bans Ye Feng for life
18 Sep 2019 KWOK Choi Ha SFC obtains disqualification order against former executive director of Life Healthcare Group Limited
16 Sep 2019 SFC commences Market Misconduct Tribunal proceedings over alleged insider dealing in Meadville Holdings Limited shares
12 Sep 2019 CHEUNG CHIU HUNG, JACKY SFC bans Jacky Cheung Chiu Hung for two years
10 Sep 2019 Hongkong and Shanghai Banking Corporation Limited, The SFC reprimands and fines HSBC $2.1 million for breaching telephone recording requirements

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Notes:

  1. In some news releases, 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 only a public reprimand and the news release was published over 10 years ago; or
    3. the news release was a public statement published over 10 years ago.
  2. The  list only contains news releases of the SFC’s enforcement actions issued on or after 1 January 1997. 
  3. The SFC may still take into account  its enforcement actions taken before 1 January 1997 for licensing and disciplinary purposes.
  4. If you need more information about a currently licensed person, please look it up in the Public Register of Licensed Persons and Registered Persons