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
17 Sep 2020 Bank of East Asia Limited, The SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches
16 Sep 2020 SHIN Yick Fabian SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures
14 Sep 2020 KE Wen Hua Retail investor convicted of false trading
7 Sep 2020 SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors
3 Sep 2020 LAU Tin Yau Former licensee convicted of providing false or misleading information to SFC
3 Sep 2020 Shenwan Hongyuan Securities (H.K.) Limited SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation
31 Aug 2020 SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited
31 Aug 2020 LO Mee Chi Masy SFC bans Masy Lo Mee Chi for eight months
26 Aug 2020 TS'O Jing SFC bans TS’O Jing for life
20 Aug 2020 ZENG Lingxi SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation
14 Aug 2020 SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
13 Aug 2020 SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited
12 Aug 2020 CHAN Yiu Ting SFC bans Chan Yiu Ting for 18 months
11 Aug 2020 SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation
24 Jul 2020 Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities
9 Jul 2020 Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities
8 Jul 2020 LEFT Andrew Edward Court of Final Appeal dismisses leave application of Andrew Left
7 Jul 2020 LAI Wing Fat SFC bans Lai Wing Fat for 20 months
2 Jul 2020 KE Wen Hua SFC commences false trading prosecution against retail investor
23 Jun 2020 CHU Lai Wa, Joanna SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months

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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