Regulatory AlertsEnforcement regulation in Hong Kong
Enforcement actions, penalties, license withdrawals and supervisory sanctions against named parties. 16 publications, summarized in English and updated same-day.
2026-07-30
SFC issues restriction notice to broker to freeze assets of over $125 million linked to suspected IPO fraud
Hong Kong
SFC
2026-07-28
SFC reprimands and fines Luk Fook Securities (HK) Limited $2.1 million for inadequate cybersecurity control to fend off cyberattack
Hong Kong
SFC
2026-07-27
SFC reprimands and fines Bright Smart Securities International (H.K.) Limited $2.8 million for internal control failures in monitoring suspicious trades
Hong Kong
SFC
2026-07-27
SFC reprimands and fines China Industrial Securities International Asset Management Limited $6.8 million for failing to properly identify and address red flags in dubious arrangements and other failures in managing private fund
Hong Kong
SFC
2026-07-24
SFC reprimands and fines Victory Securities Company Limited $1.7 million and suspends responsible officer
Hong Kong
SFC
2026-07-06
SFC suspends Wong Tim Hi for nine months
Hong Kong
SFC
2026-06-25
SFC obtains worldwide freezing order against Lo Kai Bong and Major Success Group Limited
Hong Kong
SFC
2026-06-17
Movie producer Wong Pak Ming begins five-month jail term immediately in SFC’s insider dealing case
Hong Kong
SFC
2026-06-17
SFC seeks share buy-out order against former chairman of Target Insurance (Holdings) Limited
Hong Kong
SFC
2026-06-09
Movie producer Wong Pak Ming sentenced to jail and fined in SFC’s insider dealing prosecution
Hong Kong
SFC
2026-06-01
SFC reprimands and fines XHK Limited $2.5 million for regulatory breaches
Hong Kong
SFC
2018-08-22
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
Hong Kong
HKMA
2018-08-22
Guidance Note on Cooperation with the HKMA in Investigations and Enforcement Proceedings
Hong Kong
HKMA
2017-12-28
HKMA Guidance on Cooperation with SFC in Investigations and Enforcement Proceedings
Hong Kong
HKMA
2016-09-30
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance in respect of the OTC Derivatives Regime
Hong Kong
HKMA
2016-09-30
Guideline on Exercising Disciplinary Power to Order a Pecuniary Penalty under Section 203C(1) of the Securities and Futures Ordinance
Hong Kong
HKMA