New speech by Kelvin Wong: Speech at the Listing Ceremony of Hang Seng Gold ETF
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Asset ManagerBroker DealerBank
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Consumer Protection / Conduct in Hong Kong
Consumer Protection / Conduct regulatory updates from Hong Kong.
SFC suspends Choi Sau Wai for seven months
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Broker DealerWealth Manager
SFC obtains $595 million compensation order and disqualification orders up to 15 years against three former directors and senior executives of Superb Summit International Group Limited
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BankBroker DealerAsset Manager
New speech by Kelvin Wong: Speech at the Hong Kong Chartered Governance Institute’s Annual Reception 2026
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BankWealth ManagerAsset Manager
SFC warns public of suspicious AI-themed investment product offered by Gold Fun and Angel Guardian Alliance Technology
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Asset ManagerWealth ManagerFintech
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
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BankWealth ManagerAsset Manager
SFC reprimands and fines Saxo Capital Markets HK Limited $4 million for regulatory breaches over distribution of virtual asset-related products
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AI Analysis
The Securities and Futures Commission (SFC) reprimanded and fined Saxo Capital Markets HK Limited (SCMHK) HK$4 million on 6 January 2026 for breaching regulations by distributing unauthorised virtual asset (VA) funds and VA-related products to retail clients via its online platform from 1 November 2018 to 25 November 2022. This enforcement action underscores the SFC's strict enforcement of suitability, due diligence, and professional investor-only restrictions for complex VA products, serving as a warning to intermediaries about online distribution risks. It matters because it highlights gaps in group-wide protocols and the need for robust VA-specific controls, especially post-SFC circulars mandating PI-only access. #
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Broker DealerAll Firms
SFC welcomes Process Review Panel Report 2024-25
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BankWealth ManagerAsset Manager
SFC withdraws restriction notices to brokers to facilitate return of misappropriated funds to affected parties
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Broker DealerWealth ManagerBank