SFC Hong Kong

Retail Trader Sentenced for False Trading in Hong Kong

The Securities and Futures Commission (SFC) Hong Kong announced that a retail trader was sentenced to 220 hours of community service and fined $117,715 for false trading in six Hong Kong-listed companies. The SFC highlighted the importance of market integrity and investor confidence.

SFC and ICAC Joint Operation Targets Insider Dealing and Corruption

The SFC and ICAC conducted a joint operation targeting insider dealing and corruption involving senior executives of three licensed corporations. Eight individuals were arrested, and investigations revealed alleged bribes of over $4 million leading to approximately $315 million in illicit profits.

SFC obtains HK$4M compensation order against former Coolpad executive

The Securities and Futures Commission (SFC) of Hong Kong obtained a compensation order of HK$4 million against Mr Zhang Wei, a former executive director of Coolpad Group Limited. Zhang was also disqualified from holding directorships for five years for his role in transactions that caused significant losses to the company.

SFC bans Andy Lau Ka Ho for life over misconduct

The Securities and Futures Commission (SFC) has permanently banned Andy Lau Ka Ho, a former licensed representative, from the industry for serious misconduct. The ban follows an investigation into unauthorized trading, fabricated instructions, and forged statements conducted between 2014 and 2019.

SFC Freezes HK$4.3M Assets in Insider Dealing Case

The Securities and Futures Commission (SFC) of Hong Kong has obtained worldwide court orders to freeze assets totaling HK$4.3 million in an insider dealing case. The action targets a former HKEX staff member and his relatives, alleging access to and trading on confidential information.

SFC Enforcement News Website Update

The Securities and Futures Commission (SFC) of Hong Kong has updated its website by adding new enforcement news publications. These updates provide access to recent enforcement actions and related information.

SFC Hong Kong Announces Enforcement Actions: Fines, Jailings, Asset Freezes

The SFC Hong Kong has announced multiple enforcement actions, including significant fines against EFG Bank AG ($10.85 million) and Saxo Capital Markets HK Limited ($4 million), and Kylin International (HK) Co., Limited ($9 million). Several individuals have been jailed or disqualified for offenses such as false trading and insider dealing, with asset freezes totaling over $200 million obtained in various cases.

SFC and HKMA Joint Statement on Stablecoin Market Movements

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued a joint statement on August 14, 2025, addressing recent market movements related to stablecoins. The statement urges caution among investors and reminds market participants to communicate responsibly.

Hong Kong Fixed Income and Currency Market Development Roadmap

The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have released a roadmap for developing Hong Kong's fixed income and currency markets. The roadmap outlines initiatives across four pillars: boosting primary market issuance, enhancing secondary market liquidity, expanding offshore RMB business, and developing next-generation infrastructure.

Framework for Virtual Asset Perpetual Contracts by VATP

The Securities and Futures Commission (SFC) has issued a high-level framework for licensed virtual asset trading platform operators offering perpetual contracts. This guidance outlines key risks and safeguards for product design, market manipulation, and client disclosures to enhance investor protection and market liquidity.