New speech by Kelvin Wong: Remarks at the Spring Dinner of the Institute of Securities Dealers
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Broker DealerAsset Manager
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Investment Management in Hong Kong
Investment Management regulatory updates from Hong Kong.
SFC obtains court order to freeze assets worth up to $219 million belonging to suspected manipulators of KNT shares
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BankBroker DealerAsset Manager
SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct
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AI Analysis
The SFC has imposed a **lifetime ban and $17.43 million fine** on Lui Pak Tong for orchestrating a scheme where he exploited a fund under his control by directing $22.5 million in unsecured loans to a company he owned, while concealing conflicts of interest and diverting loan proceeds to himself and associates. This enforcement action demonstrates the SFC's aggressive stance on fiduciary breaches, undisclosed conflicts of interest, and self-dealing by licensed representatives, with direct implications for fund governance, investment committee oversight, and compliance with the Code of Conduct.
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Asset ManagerWealth ManagerBroker Dealer
Strategic innovation drives growth of Hong Kong’s listing and digital asset markets: SFC Quarterly Report
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Asset ManagerBroker DealerCrypto Exchange
SFC publishes review on SEHK’s performance in regulating listing matters
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All Firms
New speech by Kelvin Wong: Remarks at The Hong Kong Independent Non-Executive Director Association’s Spring Luncheon 2026
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Asset ManagerWealth Manager
New speech by Kelvin Wong: Keynote address at HKICPA’s Financial Services Interest Group Cocktail Reception
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BankAsset ManagerBroker Dealer
SFC and ICAC joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations
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Asset ManagerBroker DealerHedge Fund
New speech by Julia Leung: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
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Asset ManagerWealth ManagerAll Firms
New speech by Kelvin Wong: Remarks at the Investor and Financial Education Award 2025 Presentation Ceremony
No description available.
Sectors:
Topics:
Asset ManagerWealth ManagerBank
New speech by Kelvin Wong: Keynote remarks at the Hong Kong Securities and Investment Institute Chairman’s Cocktail
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Topics:
BankAsset ManagerBroker Dealer
Regulators launch GenA.I. Sandbox++ to foster A.I. innovation across financial services
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BankAsset ManagerFintech
SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited
No description available.
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Topics:
BankBroker DealerAsset Manager
New speech by Kelvin Wong: Speech at the Chinese New Year Cocktail Reception for Financial Services Industry
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Topics:
BankWealth ManagerAsset Manager
SFC bans Andy Lau Ka Ho for life
No description available.
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Broker DealerWealth ManagerBank
SFC obtains worldwide court orders in Hong Kong and England and Wales to freeze suspects’ assets up to HK$4.3 million in alleged insider dealing
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Broker DealerAsset Manager
Public warned of impersonation scams claiming SFC affiliation
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BankWealth ManagerFintech
SFC cautions against ramp and dump schemes involving impersonation of stock commentators
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Asset ManagerBroker DealerBank
SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited
No description available.
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BankBroker DealerAsset Manager
SFC reprimands and fines Kylin International (HK) Co., Limited $9 million for fund management failures
No description available.
AI Analysis
The SFC reprimanded and fined Kylin International (HK) Co., Limited $9 million for systemic failures in managing private sub-funds from August 2018 to July 2021, including unmanaged conflicts of interest, inadequate reconciliations/valuations, weak KYC/suitability controls, AML/CTF record-keeping lapses, and misrepresentations to investors. This enforcement action underscores the SFC's heightened scrutiny of private fund managers, emphasizing senior management accountability and robust systems/controls to protect market integrity. Compliance professionals should note it as a deterrent signal, aligning with recent SFC circulars on escalating penalties for persistent misconduct.
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Asset Manager
SFC forges stronger industry collaboration to shape a compliant and innovative future
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Broker DealerAsset ManagerBank
New speech by Alexandra Yeong: Luncheon remarks at Hong Kong REITS Association
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Asset ManagerBroker Dealer
Cross Agency Steering Group announces Strategic Priorities for 2026-2028
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BankAsset ManagerAll Firms
SFC and HKMA jointly consult on standard calculation periods under OTC derivative Clearing Rules
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BankBroker DealerAsset Manager
New speech by Kelvin Wong: Speech at the Listing Ceremony of Hang Seng Gold ETF
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Asset ManagerBroker DealerBank
SFC suspends Choi Sau Wai for seven months
No description available.
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Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
No description available.
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Broker DealerAsset ManagerBank
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
No description available.
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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
No description available.
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Asset ManagerWealth ManagerFintech
SFC obtains disqualification order against former executive director of National United Resources Holdings Limited
No description available.
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BankWealth ManagerAsset Manager
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
No description available.
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Topics:
Broker DealerWealth ManagerBank