Category Archives: Enforcement

SFC, ICAC and AFRC conduct first tripartite operation against suspected corporate fraud and misconduct

The Securities and Futures Commission (SFC), the Independent Commission Against Corruption (ICAC), and the Accounting [...]

SFC bans Ivan Chan Chuk Cheung for seven years for IPO sponsor failures

The Securities and Futures Commission (SFC) has banned Mr. Ivan Chan Chuk Cheung, a former [...]

SFC commences legal proceedings against FingerTango Inc. and its current and former directors

The Securities and Futures Commission (SFC) has taken legal action against eight current or former [...]

Exchange’s Disciplinary Action against C-Link Squared Limited (Stock Code: 1463) and Two Former Directors

C-Link Squared Limited and its former executive directors, Mr Ling Sheng Hwang and Mr Ling [...]

VKI obtains greenwashing verdict against Austrian Airlines

Austrian Airlines has been found guilty of misleading advertising by the Regional Court (LG) Korneuburg [...]

SFAT reaffirms SFC decision to ban Calvin Choi Chi Kin for two years 

The SFAT upheld the SFC’s disciplinary action against Calvin Choi Chi Kin, a former managing [...]

SEC Fines Deutsche Bank Subsidiary DWS $19 Million Following Greenwashing Investigation

The U.S. Securities and Exchange Commission (SEC) has charged Deutsche Bank’s investment arm, DWS, with [...]

SFC obtains interim injunction against former director of SMI Culture & Travel Group Holdings Limited

The Securities and Futures Commission (SFC) has obtained an interim injunction order against Ms Leung [...]

SFC bans Lo Wai Ming for seven months

The Securities and Futures Commission (SFC) has imposed a seven-month ban on Mr. Lo Wai [...]

SFC reprimands and fines Chee Tak Securities Limited $2 million and sanctions its responsible officer for regulatory breaches

Chee Tak Securities Limited (CTSL) has been fined $2 million by the Securities and Futures [...]