Category Archives: Enforcement

SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors

7 Sep 2020 The SFC has commenced proceedings in the Market Misconduct Tribunal (MMT) against [...]

SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation

3 Sep 2020 The SFC has issued a restriction notice to Shenwan Hongyuan Securities (H.K.) [...]

Former licensee convicted of providing false or misleading information to SFC

3 Sep 2020 The Eastern Magistrates’ Court today convicted Mr Lau Tin Yau in a [...]

SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited

31 Aug 2020 The Eastern Magistracy has issued arrest warrants for Mr Ho Ming Hin [...]

SFC bans Masy Lo Mee Chi for eight months

31 August 2020 The SFC has banned Ms Masy Lo Mee Chi, a former client [...]

SFC bans TS’O Jing for life

26 August 2020 The SFC has banned Mr TS’O Jing, a former relationship manager of [...]

SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation

20 August 2020 The SFC has commenced criminal proceedings at the Eastern Magistrates’ Court against [...]

SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct

August 14 The SFC has issued restriction notices to China Gather Wealth Financial Company Limited [...]

SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited

August 13 People involved: Ms Sit Yi Ki, Ms Lam Wing Ki, Mr Tam Cheuk [...]

SFC bans Chan Yiu Ting for 18 months

August 12 Company involved: China Tonghai Securities LimitedPeople involved: Mr Chan Yiu Ting Penalty: prohibit [...]