Category Archives: Enforcement

Exchange’s Disciplinary Action against Four Directors of Arta TechFin Corporation Limited (Stock Code: 279) (Formerly Known as Freeman FinTech Corporation Limited)

The Stock Exchange of Hong Kong has taken action against several former executive directors of [...]

Announcement – In relation to the matter of China Gem Holdings Limited (in liquidation) (incorporated in Bermuda with limited liability) (Stock Code: 1191) Cancellation of listing

The Exchange has declared that the Company’s shares will cease to be listed from 5 [...]

SFC commences MMT proceedings against former bank employee over alleged insider dealing

The Securities and Futures Commission (SFC) has taken legal action in the Market Misconduct Tribunal [...]

SFC obtains court order to freeze assets of suspected insider dealers of I.T Limited shares

The Securities and Futures Commission (SFC) has obtained an interim injunction order from the Court [...]

Report on Initial Public Offering Applications, Delisting and Suspensions (As at 28 April 2023)

Report on Initial Public Offering Applications, Delisting and Suspensions for April has been released. The [...]

SFC and CSRC hold high-level enforcement cooperation meeting

The Securities and Futures Commission (SFC) and the China Securities Regulatory Commission (CSRC) recently had [...]

Announcement – In relation to the matter of China U-Ton Future Space Industrial Group Holdings Ltd. (In Liquidation) (Incorporated in the Cayman Islands with limited liability) (Stock Code: 6168) Cancellation of listing

The Exchange has announced that the Company’s shares will be cancelled from trading on 2 [...]

Announcement – In relation to the matter of Kirin Group Holdings Limited (In Compulsory Liquidation) (incorporated in Bermuda with limited liability) (Stock Code: 8109) Cancellation of listing

The Exchange has made an announcement that the Company’s shares will be removed from listing [...]

SFC bans Peter Law Chi Kin for 10 years and fines him $535,500

The Securities and Futures Commission (SFC) has banned former Convoy Asset Management Limited representative, Mr. [...]

Exchange’s Disciplinary Action against S&S Intervalue China Limited (Delisted, Previous Stock Code: 8506) and Five Directors

S&S Intervalue China Limited and its former executives, Mr. CHEN Yi Hui, Ms. YUAN Yuan, [...]