SFC bans Nerico Brothers Limited’s former responsible officer, manager-in-charge and director Paul Wan Kai Leung for life
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SFC News
Securities and Futures Commission
All news and announcements from the SFC (Hong Kong).
SFC warns against fraudsters claiming access to Investor Compensation Fund
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Broker DealerAll Firms
SFC welcomes appointment and re-appointment of Executive Directors
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Cross-Agency Steering Group welcomes first sector-based operational guide on transition finance
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SFC obtains two-year disqualification order against former financial controller and company secretary of Qunxing Paper Holdings Company Limited
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SFC obtains disqualification orders against former directors of China Candy Holdings Limited
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SFC commences legal proceedings against former senior executives of China Automotive Interior Decoration Holdings Limited and its subsidiary
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SFC launches official Rednote account to strengthen public outreach and education
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SFC joins global regulatory effort again to combat unlawful activities of finfluencers
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SFC reaches agreement with PricewaterhouseCoopers for shareholder compensation of HK$1 billion regarding false financial statements of China Evergrande Group for 2019 and 2020
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SFC hosts IOSCO Committee 2 meeting in Hong Kong on secondary market
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SFC unveils new regulatory framework to allow secondary trading of tokenised SFC-authorised investment products
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Crypto ExchangeAsset ManagerBank
Appointments to SFC committees
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Earnings and transaction value surge to five-year highs for Hong Kong’s securities industry in 2025
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Broker Dealer
Uncertificated securities market regime – targeted for launch in November 2026
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BankBroker DealerFintech
SFC CEO re-appointed as Chair of IOSCO Asia-Pacific regional committee
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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
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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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
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
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BankBroker DealerAsset Manager
SFC drives Asia-Pacific regulatory consensus to strengthen market resilience through collaboration and new technology
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SFC bans Andy Lau Ka Ho for life
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Broker DealerWealth ManagerBank
SFC welcomes Government budget measures to bolster Hong Kong’s role in global finance and national development
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BankBroker DealerCrypto Exchange
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
Settlement with Sino Wealth International Limited and Clear Prosper Global Limited in matters relating to Giordano International Limited under The Codes on Takeovers and Mergers and Share Buy-backs
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BankWealth Manager
SFC launches trading initiatives to boost digital asset market vibrancy in Hong Kong
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Crypto ExchangeBroker Dealer
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
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BankBroker DealerAsset Manager
Masterminds jailed up to 24 months in securities fraud case involving social media “stock tips” of alleged ramp-and-dump schemes
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Broker DealerBank
SFC convenes third Digital Asset Consultative Panel meeting
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Crypto ExchangeFintech
SFC forges stronger industry collaboration to shape a compliant and innovative future
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Broker DealerAsset ManagerBank
SFC directs IPO sponsors to promptly conduct internal reviews to rectify serious deficiencies in the preparation of new listing documents
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Broker DealerBank
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
SFC and UAE’s Capital Market Authority sign milestone MoU to strengthen cross-border digital asset collaboration
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Crypto ExchangeFintech
SFC suspends Choi Sau Wai for seven months
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Broker DealerWealth Manager
SFC suspends Wong Chi Fai for 27 months
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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
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BankBroker DealerAsset 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
No description available.
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BankWealth ManagerAsset Manager
SFC obtains court order to freeze up to $85.2 million of assets belonging to suspect traders of Wan Cheng shares
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BankBroker DealerWealth 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
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Broker DealerWealth ManagerBank
China All Access former executive jailed for false trading
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Broker DealerBankWealth Manager