Category Archives: Enforcement

SFC reaches agreement with PricewaterhouseCoopers for shareholder compensation of HK$1 billion regarding false financial statements of China Evergrande Group for 2019 and 2020

On 23 April 2026,The Securities and Futures Commission (SFC) reached a landmark HK$1 billion settlement [...]

Exchange’s Disciplinary Action against Cloud Factory Technology Holdings Limited (Stock Code: 2512) and Four Directors

On 14 April 2026,The Stock Exchange of Hong Kong Limited publicly censured Cloud Factory Technology [...]

SFC sanctions Impression Investment Limited and its former responsible officer over staff trading activities

On 9 April 2026, The Securities and Futures Commission (SFC) reprimanded and fined Impression Investment [...]

SFC bans Cheng Lai Ho for seven months

The Securities and Futures Commission (SFC) has prohibited Mr Cheng Lai Ho, a former relevant [...]

SFC suspends Tang Wai Choi for seven months

The Securities and Futures Commission (SFC) has suspended the licence of Mr Tang Wai Choi, [...]

SFC seeks court orders to disqualify former directors of China Longevity Group Company Limited

The Securities and Futures Commission (SFC) is seeking disqualification orders against three former executive directors [...]

SFC seeks court orders to disqualify former directors of Century Energy International Holdings Limited

The Securities and Futures Commission (SFC) is pursuing disqualification orders against four former directors of [...]

SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Richard Charles Heyes for five years

The Securities and Futures Commission (SFC) has banned Mr. Richard Charles Heyes, a former responsible [...]

Exchange’s Disciplinary Action against a Director of LET Group Holdings Limited (Delisted, Previous Stock Code: 1383) and Summit Ascent Holdings Limited (Delisted, Previous Stock Code: 102)

The Stock Exchange of Hong Kong Limited has imposed a Director Unsuitability Statement and a [...]

SFC reprimands and fines Instinet Pacific Limited $8 million for failure to report cross trades to the Stock Exchange

The Securities and Futures Commission (SFC) has publicly reprimanded Instinet Pacific Limited and imposed an [...]