Category Archives: Enforcement

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 [...]

Exchange’s Disciplinary Action against a Former Director of Orient Securities International Holdings Limited (Stock Code: 8001)

The Stock Exchange of Hong Kong Limited has issued a Director Unsuitability Statement and censure [...]

Insurance Authority imposes a four-month suspension on the licence held by Chan Lok Wang who falsified the signature of his client on a policy surrender form

The Insurance Authority (IA) has suspended the license of Chan Lok Wang for four months [...]

Exchange’s Disciplinary Action against Fantasia Holdings Group Co., Limited (Stock Code: 1777), Colour Life Services Group Co., Limited (Stock Code: 1778) and Nine Directors

The Stock Exchange of Hong Kong Limited has imposed disciplinary actions against Fantasia Holdings Group [...]

Exchange’s Disciplinary Action against MIE Holdings Corporation (Stock Code: 1555) and One Current Director

The Stock Exchange of Hong Kong Limited has criticized MIE Holdings Corporation (Stock Code: 1555) [...]

SFC commences insider dealing prosecution against Wong Pak Ming

The Securities and Futures Commission (SFC) has initiated criminal proceedings against businessman Wong Pak Ming [...]