Category Archives: Enforcement

SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale

7 May 2020 The Securities and Futures Commission (SFC) has reprimanded and fined Mega International [...]

SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited

5 May 2020 The Securities and Futures Commission (SFC) has obtained a court order in [...]

Unlicensed fund manager sentenced to community service

29 Apr 2020 The Eastern Magistrates’ Court today sentenced Mr Yau Ka Fai to 240 [...]

SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited

27 Apr 2020 The Securities and Futures Commission (SFC) has obtained disqualification orders in the [...]

SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures

20 Apr 2020 The Securities and Futures Commission (SFC) has reprimanded and fined BOCOM International [...]

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

7 Apr 2020 The Securities and Futures Commission (SFC) has reprimanded and fined HSBC Investment [...]

SFC issues restriction notice to Agg. Asset Management Limited

3 Apr 2020 The Securities and Futures Commission (SFC) has issued a restriction notice to [...]