All news

In this sub-section, you will find all news releases issued by the SFC. The list is in chronological order. Please use the filter to view items by year.

Date Title
28 May 2020 SFC bans Kwok Chau Mo for nine months
21 May 2020 SFC seeks court order to wind up Combest Holdings Limited
19 May 2020 SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation
18 May 2020 SFC welcomes re-appointment of Chief Executive Officer
18 May 2020 SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements
11 May 2020 SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd
7 May 2020 SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale
5 May 2020 SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited
29 Apr 2020 Unlicensed fund manager sentenced to community service
28 Apr 2020 SFC signs MoU with Competition Commission
27 Apr 2020 SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited
24 Apr 2020 SFC cautions on crude oil futures and ETFs
21 Apr 2020 SFC regulatory response to COVID-19
20 Apr 2020 SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures
9 Apr 2020 SFC scrutinises leveraged foreign exchange trading
8 Apr 2020 Joint consultation conclusions on the model for an uncertificated securities market
7 Apr 2020 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
3 Apr 2020 SFC issues restriction notice to Agg. Asset Management Limited
1 Apr 2020 Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation
31 Mar 2020 Appointments to SFC committees

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Notes:

  1. In some of these documents, the names of certain individuals have been masked because:
    1. the individuals have met certain criteria for this treatment as set out under the Rehabilitation of Offenders Ordinance;
    2. the individuals received a public reprimand or public criticism over 10 years ago; or
    3. the news release was a public statement published over 10 years ago.
  2. The names of certain individuals in relevant press releases and Panel decisions / statements have been masked as 10 years have elapsed since the public criticism was made.
  3. The names of certain individuals in relevant press releases and Executive decisions / statements have been masked as 10 years have elapsed since the public criticism or public reprimand was made.