Category Archives: Enforcement

Retail investor convicted and fined for illegal short selling

The Eastern Magistrates’ Court today convicted Mr Lau Chi Ho after he pleaded guilty to [...]

Former account executive of Fulbright Securities Limited jailed for securities fraud

The Eastern Magistrates’ Court today sentenced Mr Danny Fung Kwong Shing to two-and-a-half months’ imprisonment [...]

SFC reprimands and fines Asia Research & Capital Management Limited $1.75 million and bans former senior executive Billy Wong Yim Chi for two months

The Securities and Futures Commission (SFC) has reprimanded and fined Asia Research & Capital Management [...]

SFC alerts the public of unauthorised investment schemes

The investment arrangements included in this alert list have come to the SFC’s attention through [...]

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information

12 May 2021 The Market Misconduct Tribunal (MMT) has fined China Medical & HealthCare Group [...]

Market Misconduct Tribunal sanctions two former executives for insider dealing in Asia Telemedia Limited shares

[Enforcement] 7 Apr 2021 The Market Misconduct Tribunal (MMT) has sanctioned two former executives of [...]

SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures

 22 Feb 2021  The SFC has reprimanded Brilliance Asset Management Limited (Brilliance) and fined it [...]

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

9 Feb 2021 The Securities and Futures Commission (SFC) has issued restriction notices to Enlighten [...]

Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited share

3 Feb 2021 The Market Misconduct Tribunal (MMT) has ordered that Ms Li Yik Shuen [...]

EXCHANGE’S DISCIPLINARY ACTION AGAINST SANDMARTIN INTERNATIONAL HOLDINGS LIMITED (STOCK CODE: 482) AND EIGHT OF ITS CURRENT AND FORMER DIRECTORS

22 Jan 2021  This case involves a settlement between the Company, the Relevant Directors (apart [...]