Category Archives: Enforcement

SFC Suspends Andy Wong Yeung for 10 months

Andy Wong Yeung, former responsible officer (RO), manager-in-charge (MIC) of key business line and overall [...]

SFC Issues Restriction Notice to China International Capital Corporation Hong Kong Securities Limited

The SFC has issued a restriction notice to China International Capital Corporation Hong Kong Securities [...]

SFC Warns Public of HongKongDAO and BitCuped for Involvement in Suspected Virtual Asset-Related Frauds

The SFC has issued a warning to the public regarding suspected virtual asset-related frauds involving [...]

Exchange’s Disciplinary Action against Hong Kong Resources Holdings Company Limited (Stock Code: 2882) and Eight Directors

The Stock Exchange of Hong Kong has taken disciplinary action against Hong Kong Resources Holdings [...]

SFC Reprimands and Fines Ruifeng Securities Limited $5.2 Million for Fund Management and Account Opening Failures and Suspends its Responsible Officer

The SFC has reprimanded and fined Ruifeng Securities Limited (RSL) $5.2 million over failures related [...]

The Monetary Authority Takes Disciplinary Action Against CA Indosuez (Switzerland) SA, Hong Kong Branch for Contraventions of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance

The HKMA has taken disciplinary action against CA Indosuez (Switzerland) SA, Hong Kong Branch (CAHK) [...]

SFC Commences Legal Proceedings Against First Credit Finance Group Limited, its Former Directors and De Facto Director

The SFC has initiated legal proceedings against First Credit Finance Group Limited and its former [...]

SFC Commences Legal Proceedings Against AMTD Global Markets Limited and its Former Executives for Non-Compliance in IPO-Related Investigations

The SFC has initiated legal proceedings against AMTD Global Markets Limited and its former executives [...]

Insurance Authority Bans Two Former Insurance Agents for Three Years for Using False Academic Certificates Under the Former Self-Regulatory Regime

The IA has taken disciplinary action against two former insurance agents who used false academic [...]

SFC Reprimands and Fines Lion Futures Limited $2.8 Million for Regulatory Breaches

The SFC has reprimanded and fined Lion Futures Limited (LFL) $2.8 million for regulatory breaches [...]