Category Archives: Enforcement

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 [...]

Enforcement collaboration between IA and HKMA – Insurance Authority bans Chan Ka Hey for six months for fabrication of a client’s direct debit authorization form for premium payment

The Insurance Authority (IA) and the Hong Kong Monetary Authority (HKMA) have jointly issued a [...]

The Monetary Authority takes disciplinary action against EFG Bank AG, Hong Kong Branch for contraventions of Anti-Money Laundering and Counter-Terrorist Financing Ordinance

The Hong Kong Monetary Authority (HKMA) has announced the completion of an investigation and disciplinary [...]

Market Misconduct Tribunal finds Mayer Holdings Limited and its former senior management for late disclosure of inside information

The Market Misconduct Tribunal (MMT) has concluded that Mayer Holdings Limited (Mayer) and its former [...]

Suspected core members of sophisticated syndicate charged in ramp-and-dump case

Mr. Stevens Yip Chi Fai and Ms. So Lung Ying, suspected core members of a [...]

Court convicted and fined Cheung Wing Hung for unlicensed activity

The Eastern Magistrates’ Court has found Mr. Cheung Wing Hung guilty of unlawfully acting as [...]

Exchange’s Disciplinary Action against Lisi Group (Holdings) Limited (Stock Code: 526)

The Stock Exchange of Hong Kong Limited has censured Lisi Group (Holdings) Limited for repeatedly [...]

SFC reprimands and fines Changjiang Asset Management (HK) Limited $3.4 million for regulatory breaches and internal control failures

Changjiang Asset Management (HK) Limited (CJAM) has been fined $3.4 million by the Securities and [...]