SFC seeks $82.4M asset freeze order against suspected manipulators of Smartac shares
The SFC has applied for an order to freeze assets intended for compensation to affected investors in an alleged market manipulation case.
SFC
HK regulator imposes $8M fine on Instinet Pacific Limited
featured, Instinet, SEHK, SFC
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The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Instinet Pacific Limited $8 million.
HK watchdog suspends former Agg. Asset Management responsible officer for 12 months
The SFC has suspended Chow Tsz Lam from 2 September 2025 to 1 September 2026 over fund management failures.
HK regulator bans former Associate Director of UBS
The Securities and Futures Commission (SFC) has banned Mr Suen Kin-wing, a former Associate Director of UBS, from re-entering the industry for life.
SFC seeks court order to freeze $62.5M in assets in ramp-and-dump case
featured, ramp-and-dump scam, SFC
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Hong Kong’s Securities and Futures Commission (SFC) has applied for an order from the Court of First Instance to freeze assets intended for compensation.
SFC revokes licence of Nerico Brothers
Nerico Brothers, SFC
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The Securities and Futures Commission (SFC) of Hong Kong has revoked the licence of Nerico Brothers Limited (NBL).
HK regulator imposes $23.8M fine on Deutsche Bank for regulatory breaches
Deutsche Bank, featured, SFC
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The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank $23.8 million for various regulatory breaches.
HK regulator fines HSBC $4.2M for disclosure failures in research reports
featured, HSBC, SFC
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Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined HSBC $4.2 million.
HK Securities and Futures Commission warns of impersonation scams
imposter scams, SFC
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Hong Kong’s Securities and Futures Commission (SFC) today issued a warning to the public regarding impersonation scams.
HK regulator bans Kylin International director for 12 months
featured, Kylin, SFC
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Hong Kong’s Securities and Futures Commission (SFC) has banned Ms Zhu Hong, a director of Kylin International (HK) Co., Limited.
