Category Archives: Enforcement

SFC seeks court orders to disqualify former directors of China Longevity Group Company Limited

The Securities and Futures Commission (SFC) is seeking disqualification orders against three former executive directors [...]

SFC seeks court orders to disqualify former directors of Century Energy International Holdings Limited

The Securities and Futures Commission (SFC) is pursuing disqualification orders against four former directors of [...]

SFC bans Citigroup Global Markets Asia Limited’s former responsible officer Richard Charles Heyes for five years

The Securities and Futures Commission (SFC) has banned Mr. Richard Charles Heyes, a former responsible [...]

Exchange’s Disciplinary Action against a Director of LET Group Holdings Limited (Delisted, Previous Stock Code: 1383) and Summit Ascent Holdings Limited (Delisted, Previous Stock Code: 102)

The Stock Exchange of Hong Kong Limited has imposed a Director Unsuitability Statement and a [...]

SFC reprimands and fines Instinet Pacific Limited $8 million for failure to report cross trades to the Stock Exchange

The Securities and Futures Commission (SFC) has publicly reprimanded Instinet Pacific Limited and imposed an [...]

Insurance Authority issues a public reprimand and imposes a fine on Tahoe Life Insurance Company Limited

The Insurance Authority (IA) has publicly reprimanded Tahoe Life Insurance Company Limited and imposed a [...]

Exchange’s Disciplinary Action against Shanghai Henlius Biotech, Inc. (Stock Code: 2696) and One Former Director

The Stock Exchange of Hong Kong Limited has publicly censured Shanghai Henlius Biotech, Inc. (Stock [...]

SFC suspends former Agg. Asset Management responsible officer Chow Tsz Lam for 12 months for fund management failures

The Securities and Futures Commission (SFC) has suspended Mr. Chow Tsz Lam, a former responsible [...]

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 [...]