The tracker below contains details of the SFC’s enforcement actions in Hong Kong showing instances where fines of more than HKD1 million have been imposed as at 16 March 2022.
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Recent annual and quarterly reports published by the Securities and Futures Commission (SFC) of Hong Kong highlight the SFC’s regulatory work for the period dated April 2020 to December 2021 (the 2020/2021 Period). The...more
The SFC's latest annual and quarterly reports highlight the SFC's regulatory work since April 2019 and illustrate some key trends in its enforcement agenda.
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The SFC published its annual report for 2019/2020 in June and has also published its quarterly report for Q2 2020. -
These reports show that the SFC continues to focus its enforcement team on cases that have the potential...more