Category Archives: Enforcement

SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited

27 Apr 2020 The Securities and Futures Commission (SFC) has obtained disqualification orders in the [...]

SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures

20 Apr 2020 The Securities and Futures Commission (SFC) has reprimanded and fined BOCOM International [...]

SFC reprimands and fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for regulatory breaches over funds’ cash management

7 Apr 2020 The Securities and Futures Commission (SFC) has reprimanded and fined HSBC Investment [...]

SFC issues restriction notice to Agg. Asset Management Limited

3 Apr 2020 The Securities and Futures Commission (SFC) has issued a restriction notice to [...]