Category Archives: Enforcement

SFC issues restriction notices to 10 brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam

The Securities and Futures Commission (SFC) has issued restriction notices to 10 brokers in relation [...]

Two additional syndicate members charged in ramp-and-dump case

At the Eastern Magistracy, two additional suspects, Ms. Wong Yin Ling and Ms. Tse Yi [...]

Exchange’s Disciplinary Action against Tianjin Real Estate Group Co., Ltd. (Delisted, Previous Debt Stock Code: 5286)

The Stock Exchange of Hong Kong Limited censures Tianjin Real Estate Group Co., Ltd. In [...]

Announcement – In relation to the matter of Greenway Mining Group Limited (Incorporated in the Cayman Islands with limited liability) (Stock Code: 2133) Cancellation of listing

The Exchange has announced that the shares of Greenway Mining Group Limited will be cancelled [...]

SFC seeks court orders to disqualify former directors and ex-chief financial controller of China Candy Holdings Limited

The Securities and Futures Commission (SFC) is taking legal action against eight individuals, including seven [...]

Announcement – In relation to the matter of Sky Chinafortune Holdings Group Limited (incorporated in Hong Kong with limited liability) (Stock Code: 141) Cancellation of listing

The Stock Exchange of Hong Kong Limited has announced that Sky Chinafortune Holdings Group Limited’s [...]

SFC issues restriction notices to three brokers to freeze accounts of clients involved in suspected corporate misconduct

Emperor Securities Limited, CS Wealth Securities Limited, and CMB International Securities Limited have received restriction [...]

Another suspected core member of syndicate charged in ramp-and-dump case

An additional suspect has been charged in connection with a large-scale market manipulation syndicate, bringing [...]

SFC reprimands and fines Ninety One Hong Kong Limited $1.4 million for unlicensed futures trading

Ninety One Hong Kong Limited (NOHK) has been fined $1.4 million by the Securities and [...]

Announcement – In relation to the matter of Sinic Holdings (Group) Company Limited (incorporated in the Cayman Islands with limited liability) (Stock Code: 2103) Cancellation of listing

Under Rule 6.01A(1), Sinic Holdings (Group) Company Limited’s shares will be delisted from trading on [...]