Category Archives: Enforcement

Insurance Authority issues a public reprimand and imposes a fine on Tahoe Life Insurance Company Limited

The Insurance Authority (IA) has publicly reprimanded Tahoe Life Insurance Company Limited and imposed a [...]

Exchange’s Disciplinary Action against Shanghai Henlius Biotech, Inc. (Stock Code: 2696) and One Former Director

The Stock Exchange of Hong Kong Limited has publicly censured Shanghai Henlius Biotech, Inc. (Stock [...]

SFC suspends former Agg. Asset Management responsible officer Chow Tsz Lam for 12 months for fund management failures

The Securities and Futures Commission (SFC) has suspended Mr. Chow Tsz Lam, a former responsible [...]

HKEX Introduces Enhancements to Margin Collateral Arrangements

On September 1, 2025, Hong Kong Exchanges and Clearing Limited (HKEX) announced enhancements to its [...]

SFC seeks court order to freeze assets up to $62.5 million for investor compensation in sophisticated ramp-and-dump case

The Securities and Futures Commission (SFC) has filed an application with the Court of First [...]

SFC revokes the licence of Amber Hill Capital Limited and bans its senior management for life

The Securities and Futures Commission (SFC) has revoked the license of Amber Hill Capital Limited [...]

SFC revokes the licence of Nerico Brothers Limited and bans its senior management for life

The Securities and Futures Commission (SFC) has revoked the license of Nerico Brothers Limited (NBL) [...]

SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million for regulatory breaches

The Securities and Futures Commission (SFC) has imposed a fine of $23.8 million on Deutsche [...]

Enforcement collaboration between HKMA and SFC – SFC reprimands and fines HSBC HK$4.2 million for disclosure failures in research reports

The Securities and Futures Commission (SFC) has reprimanded The Hongkong and Shanghai Banking Corporation Limited [...]

SFC bans Zhu Hong for 12 months and fines her $400,000 for fund management failures

The Securities and Futures Commission (SFC) has banned Ms. Zhu Hong, a director and former [...]