Category Archives: Enforcement

SFC suspends Shum Wai Nap for seven months for failures in managing a private fund

According to a press release on 20 Jun 2024, the Securities and Futures Commission (SFC) [...]

Businessman charged by ICAC for laundering RMB 400m

According to a press release on June 18, a businessman was charged by the ICAC [...]

Asset management firm owner charged by ICAC for laundering $50 million

An owner of an asset management company was charged by the ICAC on June 12 [...]

Bans imposed on two former insurance agents for using false academic certificates under the former self-regulatory regime

The Insurance Authority (IA) has taken disciplinary actions against two former insurance agents for submitting [...]

Market manipulators convicted in landmark High Court jury trial

The Court of First Instance has convicted three individuals – Ms Sit Yi Ki, Ms [...]

SFC suspends Wong Ka Ching for four years

The Securities and Futures Commission (SFC) has suspended Mr. Wong Ka Ching, the former responsible [...]

SFC bans Cheung Wing Hung for 18 months

The Securities and Futures Commission (SFC) has banned Mr Cheung Wing Hung from re-entering the [...]

Pre-trial review fixed for false trading in shares of China All Access (Holdings) Limited

The Eastern Magistrates’ Court today set down 5 September 2024 for a pre-trial review of [...]

Email Alert – Phishing emails related to Tai Sang Bank Limited

The Hong Kong Monetary Authority (HKMA) has issued an alert to the public regarding a [...]

Insurance Authority bans former insurance agent for 14 years for misappropriating premium

The Insurance Authority (IA) has imposed a 14-year ban on a former insurance agent of [...]