Category Archives: Enforcement

SFC revokes Axial Capital Management Limited’s licence and suspends its responsible officer for five years

The Securities and Futures Commission (SFC) has taken action against Axial Capital Management Limited (Axial) [...]

Court appoints administrators for Vantage New Generation Securities Limited

The Securities and Futures Commission (SFC) has obtained a court order from the Court of [...]

Exchange’s Disciplinary Action against Two Former Directors of Hope Life International Holdings Limited (Stock Code: 1683)

The Stock Exchange of Hong Kong Limited has taken disciplinary action against two individuals, Ms. [...]

Exchange’s Disciplinary Action against a Former Director of Global Mastermind Holdings Limited (Stock Code: 8063)

Mr. Tse Ke Li, a former executive director, has been deemed unsuitable by the Stock [...]

SFC and ICAC conduct joint operation against suspected market manipulation syndicate and Restriction Notices issued by the SFC to six brokers to freeze client accounts

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

Exchange’s Disciplinary Action against China Saite Group Company Limited (Delisted, Previous Stock Code: 153) and Ten Directors

The Stock Exchange of Hong Kong Limited has taken several actions against individuals and companies [...]

SFC reprimands and fines China Industrial Securities International Brokerage Limited $3.5 million for internal control failures

China Industrial Securities International Brokerage Limited (China Industrial) has been fined $3.5 million by the [...]

SFC fines Changjiang Corporate Finance (HK) Limited $20 million and suspends its licence for serious and extensive sponsor failures

Changjiang Corporate Finance (HK) Limited (CJCF) has been fined $20 million and reprimanded by the [...]

Securities fraud and illegal short selling case transferred to District Court

The Eastern Magistracy has transferred the case against four defendants to the District Court for [...]

Exchange’s Disciplinary Action against Two Former Directors of Ourgame International Holdings Limited (Stock Code: 6899)

The Stock Exchange of Hong Kong Limited has issued a statement regarding the unsuitability of [...]