HK regulator imposes $8M fine on UBS for professional investor misclassification
The SFC of Hong Kong has reprimanded and fined UBS AG $8 million for deficiencies in its internal systems and controls.
SFC
HK Court penalises AMTD Global Markets due to non-compliance with SFC notices
The Hong Kong Court of First Instance has ordered AMTD Global Markets Limited to produce records and pay a fine.
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.
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.
