Category Archives: Enforcement

SFC bans Lai Wing Fat for 20 months

7 Jul 2020 The Securities and Futures Commission (SFC) has banned Mr Lai Wing Fat, [...]

SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months

23 Jun 2020 The Securities and Futures Commission (SFC) has prohibited Ms Joanna Chu Lai [...]

SFC reprimands and fines Potomac Capital Limited $800,000 for breaching Financial Resources Rules

June 8 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Potomac Capital [...]

SFC bans Kwok Chau Mo for nine months

May 28 2020 The Securities and Futures Commission (SFC) has banned Mr Kwok Chau Mo, [...]

SFC seeks court order to wind up Combest Holdings Limited

21 May 2020 The Securities and Futures Commission (SFC) has presented a petition to the [...]

SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation

19 May 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Convoy Asset [...]

SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements

18 May 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Southwest Securities [...]

SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale

7 May 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Mega International [...]

SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited

5 May 2020 The Securities and Futures Commission (SFC) has obtained a court order in [...]

Unlicensed fund manager sentenced to community service

29 Apr 2020 The Eastern Magistrates’ Court today sentenced Mr Yau Ka Fai to 240 [...]