Category Archives: Enforcement

Exchange’s Disciplinary Action against Five Former Directors of China Clean Energy Technology Group Limited (stock code: 2379)

In July 2021, receivers and managers of over 50% of the shares of China Clean [...]

Exchange’s Disciplinary Action against Jilin Province Huinan Changlong Bio-pharmacy Company Limited (Stock Code: 8049) and Nine Directors

The Stock Exchange of Hong Kong has taken disciplinary action against Jilin Province Huinan Changlong [...]

SFC issues restriction notice to Global Group Securities Limited

The Securities and Futures Commission (SFC) has given Global Group Securities Limited (GGSL) a notice [...]

SFC bans Xie Yangxiong for life

The Securities and Futures Commission (SFC) has imposed a lifetime ban on Xie Yangxiong, a [...]

SFC and Police joint operation against a suspect of illegal short selling and fraudulent activities

The Securities and Futures Commission (SFC) and the Commercial Crime Bureau of the Police conducted [...]

Licence applicant convicted of providing false information to the SFC

Mr Sze Chun Wai has been convicted by the Eastern Magistrates’ Courts for providing false [...]

Exchange’s Disciplinary Action against CT Vision S.L. (International) Holdings Limited (Stock Code: 994)

The Stock Exchange of Hong Kong Limited has censured against CT Vision S.L. (International) Holdings [...]

SFC obtains disqualification orders against former directors of Luxey International (Holdings) Limited

The Securities and Futures Commission (SFC) has secured disqualification orders against two former directors of [...]

Ramp-and-dump suspect arrested for breaches of court bail conditions

Ms. Tse Yiu Chung, who is facing charges related to “ramp-and-dump” schemes, has had her [...]

SFC reprimands and fines China On Securities Limited $6 million for failures as share placement agent

The Securities and Futures Commission (SFC) has fined China On Securities Limited (China On) $6 [...]