Category Archives: Enforcement

SFC bans RaffAello Capital Limited’s former responsible officer for two years over IPO sponsor failures

The Securities and Futures Commission (SFC) has barred Mr. Tsang Kwong Fai, a former responsible [...]

Exchange’s Disciplinary Action against E&P Global Holdings Limited (Stock Code: 1142)

From August 2021 to January 2022, the Company’s subsidiary made five transactions that involved buying [...]

Court convicted and fined Ben Ngai Ping Kuen for unlicensed activity

Mr. Ben Ngai Ping Kuen was found guilty by the Eastern Magistrates’ Court for falsely [...]

Announcement – In relation to the matter of CIL Holdings Limited (incorporated in Bermuda with limited liability) (Stock Code: 479) Cancellation of listing

The Exchange has declared that the Company’s shares will no longer be traded from 5 [...]

Announcement – In relation to the matter of Sino Vision Worldwide Holdings Limited (Incorporated in Cayman Islands and continued in Bermuda with limited liability) (Stock Code: 8086) Cancellation of listing

The Exchange has announced that it will cancel the listing of the Company’s shares on [...]

Exchange’s Disciplinary Action against Optima Automobile Group Holdings Limited (Stock Code: 8418) and Three Directors

The Stock Exchange of Hong Kong Limited has taken disciplinary action against Optima Automobile Group [...]

SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited

The Securities and Futures Commission (SFC) has received disqualification orders against three former executives of [...]

Four people charged following SFC and Police joint operation against securities fraud and illegal short selling

Four individuals were brought before the Eastern Magistracy on charges of fraud and illegal short [...]

Exchange’s Disciplinary Action against a Current Director of Agile Group Holdings Limited (stock code: 3383)

The Stock Exchange of Hong Kong Limited has criticized non-executive director Mr. Chan Cheuk Yin [...]

SFC reprimands and fines Taiping Securities (HK) Co Limited $1.3 million for internal control failures over employee dealings

The Securities and Futures Commission (SFC) has imposed a fine of $1.3 million on Taiping [...]