HK Court convicts movie producer Wong Pak Ming of insider dealing in SFC’s prosecution
The Eastern Magistrates’ Court today convicted movie producer Mr Wong Pak Ming of insider dealing in the shares of Pegasus.
SFC
HK watchdog obtains disqualification orders against former directors of China Candy
The SFC of Hong Kong has obtained disqualification orders with durations of up to 33 months in the Court of First Instance against four former directors of China Candy.
HK watchdog submits 12 reports concerning 33 suspicious finfluencer posts or accounts to social media
The Hong Kong Securities and Futures Commission (SFC) has joined forces with securities regulators across the globe to tackle the unlawful activities of finfluencers.
PwC HK to set aside HK$1bn to compensate shareholders of China Evergrande
SFC reaches agreement with PricewaterhouseCoopers for shareholder compensation of HK$1 billion regarding false financial statements of China Evergrande Group.
HK watchdog fines Impression Investment for deficient control over staff trading activities
The Hong Kong Securities and Futures Commission (SFC) has reprimanded and fined Impression Investment Limited $2 million for failing to diligently supervise its staff.
SFC secures order to freeze assets of up to $219M belonging to suspected manipulators of KNT shares
The Hong Kong Court of First Instance has granted an interim injunction order against four suspected manipulators of the shares of KNT Holdings Limited.
HK watchdog bans former Thunder Capital rep for life, fines him $17.43M for misconduct
The SFC has prohibited Mr Lui Pak Tong (also known as Patrick Lui), a former licensed representative of Thunder Capital Limited, from re-entering the industry for life.
GTN secures Type 1 license from Hong Kong SFC
Fintech company GTN today announced it has secured a Type 1 licence from the Securities and Futures Commission (SFC) in Hong Kong.
HK regulator bans, fines former responsible officer of Yuanta Securities
SFC has prohibited Mr Kuo Che-jung, a former responsible officer of Yuanta Securities (Hong Kong) Company Limited, from re-entering the industry for four and a half years.
HK authorities conduct operation targeting execs at two securities firms and hedge fund management firm
SFC and ICAC conduct joint operation in alleged insider dealings and corruption involving senior executives of licensed corporations.
