Category Archives: Enforcement

HKEX Introduces Enhancements to Margin Collateral Arrangements

On September 1, 2025, Hong Kong Exchanges and Clearing Limited (HKEX) announced enhancements to its [...]

SFC seeks court order to freeze assets up to $62.5 million for investor compensation in sophisticated ramp-and-dump case

The Securities and Futures Commission (SFC) has filed an application with the Court of First [...]

SFC revokes the licence of Amber Hill Capital Limited and bans its senior management for life

The Securities and Futures Commission (SFC) has revoked the license of Amber Hill Capital Limited [...]

SFC revokes the licence of Nerico Brothers Limited and bans its senior management for life

The Securities and Futures Commission (SFC) has revoked the license of Nerico Brothers Limited (NBL) [...]

SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million for regulatory breaches

The Securities and Futures Commission (SFC) has imposed a fine of $23.8 million on Deutsche [...]

Enforcement collaboration between HKMA and SFC – SFC reprimands and fines HSBC HK$4.2 million for disclosure failures in research reports

The Securities and Futures Commission (SFC) has reprimanded The Hongkong and Shanghai Banking Corporation Limited [...]

SFC bans Zhu Hong for 12 months and fines her $400,000 for fund management failures

The Securities and Futures Commission (SFC) has banned Ms. Zhu Hong, a director and former [...]

HKEX and SFC Collaborate in Enforcement Action against Two Former Listed Company Directors for Non-Cooperation in Investigations

The Stock Exchange of Hong Kong Limited has taken disciplinary action against two former directors [...]

Monetary Authority takes disciplinary actions against three banks for contraventions of Anti-Money Laundering and Counter-Terrorist Financing Ordinance

On July 22, 2025, the Hong Kong Monetary Authority (HKMA) announced disciplinary actions against three [...]

Monetary Authority takes disciplinary action against 33 Financial Services Limited for contravention of Payment Systems and Stored Value Facilities Ordinance

On July 22, 2025, the Hong Kong Monetary Authority (HKMA) announced disciplinary action against 33 [...]