Hong Kong SFC Revokes Licence of Former Keptain RO Over 10-Year Financial Statement Fraud
SFC revokes Ernest Chan's licence and bans him for 10 years for window dressing Keptain's financial returns.
Hong Kong Market Regulator Pursues Criminal Case Against Man for Defying Investigation Notices
Hong Kong SFC prosecutes man for noncompliance with market manipulation investigation notices; hearing adjourned to September 2026.
Hong Kong SFC Bars Former NUR Executive for Six Years Over US$75M Fictitious Transaction Scheme
SFC disqualifies former NUR executive for six years over US$75M fictitious fuel oil transaction scheme.
Hong Kong SFC Disqualifies NUR Executive Over US$75M Fictitious Transaction Scheme
Hong Kong SFC disqualifies NUR executive for six years over US$75.46M fictitious fuel oil transactions involving subsidiary.
Hong Kong Regulator Fines Bright Smart Securities $2.8M for Wash Trade Detection Failures
SFC fines Bright Smart Securities $2.8M for inadequate wash trade monitoring controls over 22-month period.
Hong Kong Regulator Bars Three Executives From Corporate Roles for 13 Years Over Massive Financial Fraud
Hong Kong regulators bar three China Candy executives for 13 years over RMB38-43 million accounting fraud scheme.
Hong Kong SFC Fines Asset Manager $6.8 Million for Failing to Flag Suspicious Fund Arrangements
Hong Kong SFC fines China Industrial Securities International Asset Management $6.8 million for failing to identify suspicious private fund arrangements.
Hong Kong Exchange Launches China Government Bond Futures with SFC Leadership
SFC official Dr Kelvin Wong addresses HKEX launch of China Government Bond Futures on August 3, 2026.
Hong Kong Regulator Fines Luk Fook Securities $2.1 Million Over Cybersecurity Failures
SFC fines Luk Fook Securities $2.1 million for cybersecurity failures that enabled a 2022 ransomware attack.