Category Archives: Enforcement

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 [...]

Exchange’s Disciplinary Action against Sun Cheong Creative Development Holdings Limited (Delisted, Previous Stock Code: 1781) and Eight Former Directors

The SEHK has taken disciplinary action against Sun Cheong Creative Development Holdings Limited and eight [...]

SFC Obtains Court Orders Against Former Chairman of Kong Sun Holdings Limited and China Sandi Holdings Limited

The SFC has obtained court orders against Mr. Tse On Kin, the former chairman of [...]

SFC Seeks Court Disqualification Orders Against Former Directors of Tech Pro Technology Development Limited

The SFC has initiated legal proceedings in the Court of First Instance under section 214 [...]

Exchange’s Disciplinary Action against a Director of China Fortune Investments (Holding) Limited (Delisted, Previous Stock Code: 8116)

HKEX has issued a Director Unsuitability Statement against Mr Huang Sheng Lan, a non-executive director [...]

Court Sets Trial Date for Employing a Fraudulent Scheme in Securities Transactions in Illegal Short Selling Case

The trial date has been set by the Eastern Magistrates’ Court for Ms. Christine Yeung [...]

Insurance Authority Bans Former Insurance Agent for Five Years for Mishandling and Misappropriating Premium

The IA has banned a former insurance agent from applying for a license for five [...]

Court of Final Appeal Unanimously Dismisses Appeal by Suspected Overseas Manipulators

The Court of Final Appeal (CFA) in Hong Kong has dismissed the appeal by the [...]