SFC commences MMT proceedings against GEM-listed Taste • Gourmet’s top executives and associates over alleged manipulation scheme for Main Board transfer
October 27, 2026

On 22 October 2026, the SFC commenced Market Misconduct Tribunal (MMT) proceedings against three senior executives of GEM-listed Taste • Gourmet (8371) — its chairman, CEO and then CFO — together with five of their relatives, staff and close associates. The SFC alleges that between 1 June and 18 September [...]

Exchange’s Disciplinary Action against the Former Chief Financial Officer and Company Secretary of CHK Oil Limited (Stock Code: 632)
October 7, 2026

On 6 October 2026, the Stock Exchange of Hong Kong issued a statement imposing a Prejudice to Investors’ Interests Statement and censure against Li Siu Bun, former CFO and company secretary of CHK Oil Limited (632), for serious dereliction of duty: having learnt in January 2024 that key US‑based oil‑and‑gas leases representing 40% [...]

SFC suspends dealings in Silver Grant International Holdings Group Limited shares over suspicious diversion of over $1 billion in loan proceeds to its then-major shareholder and related party
September 29, 2026

On 25 September 2026, the SFC ordered SEHK to suspend trading in Silver Grant International Holdings Group Limited (Stock Code: 00171) shares with effect from 9:00 a.m. under section 8(1) of the Securities and Futures (Stock Market Listing) Rules. Its investigation uncovered that over HK$1 billion, representing around 63% of roughly HK$2 billion‑worth of unsecured loans advanced [...]

SFC bans Mok Cheuk Ling for 42 months
September 17, 2026

On 11 September 2026, The SFC has banned Ms Mok Cheuk Ling, former licensed representative of Sun Hung Kai Investment Services Limited and Sun Hung Kai Commodities Limited, from re-entering the industry for 42 months from 11 September 2026 to 10 March 2030. Investigations found that between 2009 and 2021, [...]

Exchange’s Disciplinary Action against Three Former Directors of AM Group Holdings Limited (Stock Code: 1849)
September 16, 2026

On 15 September 2026, The Stock Exchange of Hong Kong has imposed a director unsuitability statement and censure against Mr Mu Lei, Mr Shi Lizhi and Ms Zhang Hong, former directors of AM Group Holdings Limited (Stock Code:1849). The Exchange investigated their performance of directors’ duties and issued investigation and [...]

Joint operation conducted by Insurance Authority and Hong Kong Police Force against suspected fraudulent practices of examination centre
August 31, 2026

On 27 August 2026, the Insurance Authority (IA) and the Hong Kong Police Force (HKPF) launched a joint enforcement operation targeting suspected fraudulent activities at an examination centre run by Greater China Wemedia Association Limited, which offers examinations for the Fellow, Life Management Institute (FLMI) qualification accredited by LOMA. The [...]

SFC revokes Ernest Chan Tsz Kin’s licence and bans him for 10 years
August 25, 2026

On 24 August 2026, the SFC revoked the licence and responsible‑officer approval of Mr Ernest Chan Tsz‑Kin, former RO of Keptain Securities and Asset Management Limited, and banned him from the industry for 10 years. An SFC investigation found that between June 2016 and March 2018, Chan caused Keptain to window‑dress its liquid capital by [...]

Former SFC staff member charged following joint investigation with ICAC
August 17, 2026

On 16  August, the SFC announced that a former SFC manager had been charged by the ICAC with obtaining access to a computer with a view to dishonest gain following their joint investigation. The staff member was immediately dismissed upon arrest and the SFC fully cooperated throughout the probe. Stating [...]

SFC obtains six-year disqualification order against former executive director of National United Resources Holdings Limited over fictitious transactions
August 14, 2026

On 13 August, The Securities and Futures Commission secured a six-year disqualification order at the Court of First Instance against Tian Songlin, former executive director of National United Resources Holdings Limited (NUR). Tian pleaded admitted to breaching his fiduciary duties and negligently allowing a NUR subsidiary to participate in two fictitious [...]

Hearing adjourned in criminal prosecution for noncompliance with SFC notices in market manipulation investigations
August 14, 2026

On 13 August, the Eastern Magistrates’ Court adjourned to 17 Sep 2026 the criminal prosecution brought by the SFC against Mr Oliver Chow Pak Wah in connection with two ongoing market‑manipulation investigations. Chow pleaded not guilty to three charges of unreasonably refusing to produce documents and attend interviews pursuant to three SFC notices [...]