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
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.
SFC revokes licence of Nerico Brothers
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
The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank $23.8 million for various regulatory breaches.
