Category Archives: Enforcement

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 [...]

SFC obtains 13-year disqualification orders against former top executives of China Candy Holdings Limited for corporate malfeasance

On 6 August 2026, The SFC secured 13-year director disqualification orders from Hong Kong’s Court [...]

Market Misconduct Tribunal finds Sir Dickson Poon culpable of insider dealing ahead of disclosure of HK$1.15 billion corporate windfall

On 31 July 2026, Hong Kong’s Market Misconduct Tribunal (MMT) handed down its judgment in [...]

SFC reprimands and fines Luk Fook Securities (HK) Limited $2.1 million for inadequate cybersecurity control to fend off cyberattack

On July 28, The SFC reprimanded and fined Luk Fook Securities (HK) Limited $2.1 million [...]

Exchange’s Disciplinary Action Against Redco Healthy Living Company Limited (Stock Code: 2370) and Two Current Directors

On July 28, The Stock Exchange of Hong Kong censured Redco Healthy Living Company Limited [...]