Enforcement news

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

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Date Company/Name Action
31 Mar 2020 SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers
25 Mar 2020 Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information
23 Mar 2020 MO Shau Wah SFC bans Mo Shau Wah for life
19 Mar 2020 CHAN Tan Lo SFC bans Chan Tan Lo for 14 months
18 Feb 2020 Court dismisses challenge to SFC’s investigative powers
14 Feb 2020 Capital Global Management Limited SFC reprimands and fines Capital Global Management Limited $1.5 million
11 Feb 2020 BMI Securities Limited SFC reprimands and fines BMI Securities Limited $3.7 million and suspends its responsible officer for breaches of anti-money laundering regulatory requirements
6 Feb 2020 TSE Christopher SFC bans Christopher Tse for 12 months
29 Jan 2020 SHIU Yau Wah SFC suspends Shiu Yau Wah for five months
22 Jan 2020 China Ding Yi Feng Holdings Limited SFC to commence proceedings for suspected market manipulation in the shares of China Ding Yi Feng and lifts trading suspension
21 Jan 2020 China Fund Securities Limited SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
14 Jan 2020 UBS Securities Hong Kong Limited SFC lifts suspension of UBS Securities Hong Kong Limited acting as sponsor
6 Jan 2020 YAU Ka Fai Court convicts unlicensed fund manager
2 Jan 2020 RHB Securities Hong Kong Limited SFC reprimands and fines RHB Securities Hong Kong Limited $6.4 million

Showing 21 - 34 of 34


  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