HK regulator suspends former responsible officer of MTF Securities
The SFC has suspended Mr Joey Lo Wai Hon, a former responsible officer of MTF Securities Limited, for four months.
SFC
HK watchdog seeks to freeze $394M in assets in case about suspected manipulation of Grand Talents shares
The SFC of Hong Kong has applied for an interim order from the Court of First Instance to freeze assets intended for compensation to affected investors.
HK regulator imposes $2.1M fine on Roofer Securities for mishandling client money
The Securities and Futures Commission (SFC) of Hong Kong has reprimanded and fined Roofer Securities Limited $2.1 million for regulatory breaches.
SFC seeks court order to freeze assets up to $219M in suspected manipulation of KNT shares
Hong Kong’s SFC seeks court order to freeze assets up to $219 million for investor compensation in suspected manipulation of KNT shares.
SFC bans Citigroup Global Markets Asia’s former responsible officer Richard Charles Heyes
The SFC has banned Richard Charles Heyes, a former responsible officer of Citigroup Global Markets Asia Limited, from re-entering the industry for five years.
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.
HK regulator imposes $8M fine on Instinet Pacific Limited
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
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.
