Category Archives: Lastest Topics

Exchange’s Disciplinary Action against Xinming China Holdings Limited and its executive director

08 Jan 2021 Xinming China Holdings Limited (Stock Code: 2699) (“Company”); and Mr Chen Cheng [...]

SFC reprimands and fines Fulbright Securities Limited $3.6 million

 23 Dec 2020 SFC has reprimanded Fulbright Securities Limited (Fulbright) and fined it $3.6 million [...]

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

23 Dec 2020 SFC today released consultation conclusions on proposed customer due diligence requirements for [...]

SFC licenses first virtual asset trading platform

16 Dec 2020 The Securities and Futures Commission (SFC) announces that it has granted the [...]

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives

30 Nov 2020 Company involved: New Ray Medicine International Holding Limited People involved: Mr Zhou [...]

SFC statement on US sanctions

12 Nov 2020 The SFC is issuing this statement in response to enquiries following the [...]

SFC publicly censures Ngai Lai Ha and imposes a cold-shoulder order for breach of the Takeovers Code

2 Nov 2020 Company involved: International Housewares Retail Company Limited People involved: Ms Ngai Lai [...]

SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings

22 Oct 2020  SFC has reprimanded and fined Goldman Sachs Asia HK$2.71 billion for serious [...]

Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information

16 Oct 2020 The Market Misconduct Tribunal (MMT) has found that CMBC Capital Holdings Limited [...]

SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code

SFC has publicly censured and imposed a 24-month cold-shoulder order against So Yuk Kwan for [...]