Enforcement news

This sub-section covers enforcement actions taken and offers some insight on our approach to tackling market misconduct.

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  1. In some news releases, 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 only a public reprimand and the news release was published over 10 years ago; or
    3. the news release was a public statement published over 10 years ago.
  2. The  list only contains news releases of the SFC’s enforcement actions issued on or after 1 January 1997. 
  3. The SFC may still take into account  its enforcement actions taken before 1 January 1997 for licensing and disciplinary purposes.
  4. If you need more information about a currently licensed person, please look it up in the Public Register of Licensed Persons and Registered Persons