SFC 20/22

SFC reprimands and fines Chee Tak Securities Limited $2 million and sanctions its responsible office

The Securities and Futures Commission (SFC) has reprimanded and fined Chee Tak Securities Limited (CTSL) $2 million for internal control...

Sep 20, 20232 min read

The Securities and Futures Commission (SFC) will commence a cybersecurity review of selected licensed corporations (LCs) with a focus on...

Sep 18, 20233 min read

The Securities and Futures Commission (SFC) is aware that a virtual asset trading platform (VATP) known as “JPEX” has been actively...

Sep 13, 20235 min read

The Securities and Futures Commission (SFC) has revoked the licence of Axial Capital Management Limited (Axial) for repeated failures to...

Sep 11, 20232 min read

The Securities and Futures Commission (SFC) has reprimanded and fined Guosen Securities (HK) Brokerage Company, Limited (Guosen) $2.8...

Dec 21, 20221 min read

The Securities and Futures Commission (SFC) has suspended Ms Wang Pei Yi, a former licensed representative of SinoPac Securities (Asia)...

Dec 15, 20222 min read

The Securities and Futures Commission (SFC) has suspended Mr Chung Tung Sau, a former licensed representative of Quam Securities Company...

Dec 15, 20222 min read

The Securities and Futures Commission (SFC) wishes to remind investors of the risks associated with virtual asset (VA) platforms offering...

Dec 13, 20224 min read