Category Archives: Enforcement

Disciplinary Action against XinMing China Holdings Limited (stock code: 2699) current directors.

The Stock Exchange of Hong Kong Limited censures three directors of XinMing China Holdings Limited [...]

Listing shares of LET Group Holdings Limited and Summit Ascent Holdings Limited suspended from Stock Exchange of Hong Kong

Due to concerns regarding a very substantial disposal of a major asset of LET Group [...]

The Securities and Future Commission disqualifies former CFO of Fuguiniao Co.Ltd for two years.

SFC has obtained a court order against the CFO of FuGuiNiao Co. Ltd Company due [...]

SFC issues penalty fine to PICC Asset Management Hong Kong due to in breach of regulation and code of conducts

SFC issues penalty to PICC Asset management ( Type 4 and Type 9 licensed regulated [...]

Suspected core syndicate member charged in ramp-and dump case

A suspected core member of a sophisticated ramp-and-dump syndicate, Mr Lau Ka Wing, was charged [...]

Insurance Authority bans Ma Chun Kei for 4.5 years for fabricating a certificate of insurance

The Insurance Authority (IA) has imposed a 4.5-year ban on Mr. Ma Chun Kei, a [...]

Enforcement collaboration between IA and HKMA – Insurance Authority suspends Cheung Tak On for two months and orders a fine of $2,900 for misappropriating gift vouchers

The Insurance Authority (IA) and the Hong Kong Monetary Authority (HKMA) have taken disciplinary action [...]

SFC Warns Public of Suspicious Investment Products Offered by Eternity Prime Limited

The Securities and Futures Commission (SFC) has issued a warning to the public about “Eternity.inc [...]

SFC Cautions Public Against Impersonators of Senior SFC Executives

The Securities and Futures Commission (SFC) has warned the public against instant text messages from [...]

SFC Suspends Hau Bing Leung for 15 months

The Securities and Futures Commission (SFC) has suspended the license of Hau Bing Leung, former [...]