Category Archives: Enforcement

SFC obtains landmark court decision for former Combest senior executives to make $192 million compensation to shareholders

The Securities and Futures Commission (SFC) secured a landmark court decision requiring three former senior [...]

Then CSD Assistant Officer charged by ICAC admits defrauding CSDCU and financial institutions of $890,000 loans by concealing outstanding liabilities

Jivcons Man Wai-kit, a former Assistant Officer of the Correctional Services Department (CSD), admitted to [...]

SFC revokes Mui Chok Wah’s licence and bans him for two years

The Securities and Futures Commission (SFC) of Hong Kong revoked the license of Mr. Mui [...]

Court convicts brothers-in-law of false trading

On May 15, 2025, the Eastern Magistrates’ Courts convicted Mr. Lin Tai Fung and his [...]

Court of First Instance dismisses appeal by offender of unlicensed activity

On May 15, 2025, the Court of First Instance dismissed the appeal of Ms. Lai [...]

SFC reprimands and fines Interactive Brokers Hong Kong Limited $4.2 million for regulatory breaches

The Securities and Futures Commission (SFC) reprimanded and fined Interactive Brokers Hong Kong Limited (IBHK) [...]

Court further adjourns insider dealing hearing against Wong Pak Ming

The Eastern Magistrates’ Court has adjourned the insider dealing case against Mr. Wong Pak Ming [...]

SFC obtains arrest warrant for suspected market manipulator and interim injunction to freeze his assets in Hong Kong up to $3,158,400

The Eastern Magistrates’ Court has issued an arrest warrant for Mr. Liu Shaolin, who faces [...]

SFC bans Kao Cheng Yung for six months

The Securities and Futures Commission (SFC) has banned Mr. Kao Cheng Yung, a former responsible [...]

SFC seeks disqualification and compensation orders against entire former board of 3DG Holdings (International) Limited

The Securities and Futures Commission (SFC) has launched legal action against eight former directors of [...]