SFC bans Kuo Che-jung for 4.5 years, fines $1 million

SFC Enforcement News (HK)

Filed March 19th, 2026

Detected March 19th, 2026

Summary

The Securities and Futures Commission (SFC) of Hong Kong has banned Kuo Che-jung from the industry for four and a half years. Additionally, a fine of $1 million has been imposed on Kuo Che-jung.

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What changed

The Securities and Futures Commission (SFC) has issued a significant enforcement action against Kuo Che-jung, banning him from performing regulated activities for a period of 4.5 years and imposing a substantial fine of $1 million. This action stems from misconduct within the financial services sector regulated by the SFC.

This ban and fine serve as a strong deterrent against similar violations. Compliance officers should note the severity of penalties for individuals involved in regulated activities. While specific details of the misconduct are not provided in this summary, the SFC's action underscores the importance of adhering to all regulatory requirements to avoid severe consequences, including industry bans and financial penalties.

What to do next

Review SFC enforcement actions for individuals and firms to understand current trends and expectations.
Ensure all personnel involved in regulated activities are aware of the consequences of misconduct, including bans and fines.

Penalties

$1 million fine and a 4.5-year ban from regulated activities.

Source document (simplified)

Page: SFC Enforcement News (HK)
Change summary: The SFC has banned Kuo Che-jung for four and a half years and imposed a $1 million fine, as detailed in SFC bans Kuo Che-jung for four and a half years and fines him $1 million.
[INSERTS] SFC bans Kuo Che-jung for four and a half years and fines him $1 million

Page context:
| Date | Company/Name | Action |
| ---------- | ------------ | ------------------------------------------------------------------------------------------ |
| 19 Mar 2026 | KUO Che-Jung | SFC bans Kuo Che-jung for four and a half years and fines him $1 million |
| 12 Mar 2026 | Not applicable | SFC and ICAC joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations |
| 5 Mar 2026 | ZHANG Wei | SFC obtains compensation and disqualification orders against former executive director of Coolpad Group Limited |
| 26 Feb 2026 | LAU Ka Ho, Andy | SFC bans Andy Lau Ka Ho for life |
| 24 Feb 2026 | CHAN Ching Wa, CHAU CHI KWONG, LAM Cho Man | SFC obtains worldwide court orders in Hong Kong and England and Wales to freeze suspects' assets up to HK$4.3 million in alleged insider dealing |
| 12 Feb 2026 | NG Ka hei | Retail trader sentenced in SFC's false trading case |
| 10 Feb 2026 | AU Shuk Yee Sue, DOUGLAS Gary Drew, HUI Quincy Kwong Hei, LIU Andrew, LO Kan Sun, PHILLIPS Scott Allen, QUE Agustin V., SUEN Yick Lun Philip, WHITELAM Peter Temple | SFC obtains compensation and disqualification orders against former directors of Arta TechFin Corporation Limited |
| 9 Feb 2026 | CHAN NGAI SEE, HUI Pui Yan Betty, LAM Hin Fai, LI King Hong | Masterminds jailed up to 24 months in securities fraud case involving social media "stock tips" of alleged ramp-and-dump schemes |
| 9 Feb 2026 | Kylin International (HK) Co., Limited | SFC reprimands and fines Kylin International (HK) Co., Limited $9 million for fund management failures |
| 26 Jan 2026 | CHOI Sau Wai | SFC suspends Choi Sau Wai for seven months |
| 26 Jan 2026 | WONG Chi Fai | [SFC suspends Wong Chi Fai for 27 months](https://apps.sfc.hk/edistributi...