Category Archives: Enforcement

SFC reprimands and fines Zheshang International Financial Holdings Co., Limited $2.66 million for regulatory breaches

The Securities and Futures Commission (SFC) has fined Zheshang International Financial Holdings Co., Limited $2.66 [...]

SFC commences MMT proceedings against Dickson Poon over alleged insider dealing and Dickson Concepts as well as its senior executives for late disclosure of inside information

The Securities and Futures Commission (SFC) has initiated proceedings against Mr. Dickson Poon, chairman of [...]

SFC reprimands and fines CSC Futures (HK) Limited $4.95 million for regulatory breaches

The Securities and Futures Commission (SFC) has fined CSC Futures (HK) Limited $4.95 million for [...]

SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months

The Securities and Futures Commission (SFC) has fined Xinhu International Futures (Hong Kong) Co., Limited [...]

SFC flags asset manager misconduct in managing private funds and discretionary accounts

The Securities and Futures Commission (SFC) issued a circular highlighting significant deficiencies in the conduct [...]

Company proprietor charged by ICAC gets 22 months’ jail for $3.1m SME guaranteed loan fraud

Arri Wong Ka-nam, the 55-year-old proprietor of 24 Hr Locksmith, was sentenced to 22 months [...]

Four charged by ICAC for conspiracy to defraud over $3.2m payroll of ‘ghost workers’ in supermarket chain

On October 7, the ICAC charged four individuals, including a former senior supervisor of PARKnSHOP [...]

Fugitive ramp-and-dump core suspect arrested in Singapore and surrendered to Hong Kong to face securities fraud charge

The Securities and Futures Commission (SFC) of Hong Kong has charged Ms. Chan Sin Ying, [...]

Health Inspector of Centre for Food Safety charged by ICAC admits stealing food samples by abusing power

The ICAC has charged several Health Inspectors from Hong Kong’s Centre for Food Safety for [...]

Exchange’s Disciplinary Action against Three Former Directors of YNBY International Limited (Formerly Known as Ban Loong Holdings Limited) (Stock Code: 30)

The Stock Exchange of Hong Kong has issued a Director Unsuitability Statement and censured three [...]