Category Archives: Enforcement

Exchange’s Disciplinary Action against the Former Chief Financial Officer and Company Secretary of CHK Oil Limited (Stock Code: 632)

On 6 October 2026, the Stock Exchange of Hong Kong issued a statement imposing a Prejudice to [...]

SFC suspends dealings in Silver Grant International Holdings Group Limited shares over suspicious diversion of over $1 billion in loan proceeds to its then-major shareholder and related party

On 25 September 2026, the SFC ordered SEHK to suspend trading in Silver Grant International Holdings Group [...]

SFC bans Mok Cheuk Ling for 42 months

On 11 September 2026, The SFC has banned Ms Mok Cheuk Ling, former licensed representative [...]

Exchange’s Disciplinary Action against Three Former Directors of AM Group Holdings Limited (Stock Code: 1849)

On 15 September 2026, The Stock Exchange of Hong Kong has imposed a director unsuitability [...]

Joint operation conducted by Insurance Authority and Hong Kong Police Force against suspected fraudulent practices of examination centre

On 27 August 2026, the Insurance Authority (IA) and the Hong Kong Police Force (HKPF) [...]

SFC revokes Ernest Chan Tsz Kin’s licence and bans him for 10 years

On 24 August 2026, the SFC revoked the licence and responsible‑officer approval of Mr Ernest Chan Tsz‑Kin, [...]

Former SFC staff member charged following joint investigation with ICAC

On 16  August, the SFC announced that a former SFC manager had been charged by [...]

SFC obtains six-year disqualification order against former executive director of National United Resources Holdings Limited over fictitious transactions

On 13 August, The Securities and Futures Commission secured a six-year disqualification order at the Court [...]

Hearing adjourned in criminal prosecution for noncompliance with SFC notices in market manipulation investigations

On 13 August, the Eastern Magistrates’ Court adjourned to 17 Sep 2026 the criminal prosecution brought by the [...]

Exchange’s Disciplinary Action against a Former Director of China Aoyuan Group Limited (Stock Code: 3883)

On 11 August 2026, The Stock Exchange of Hong Kong Limited censured Mr Tsui King [...]