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Investigations update: Hong Kong authorities ramp up enforcement in virtual assets and other sectors

Hong Kong has seen cryptocurrencies grow in popularity, highlighting the need for appropriate licensing regimes (implemented in the form of virtual asset service providers (VASPs)), bolstered by active enforcement...more

SFC Enforcement Actions Tracker (UPDATED)

Showing SFC enforcement actions which resulted in fines of HKD1 million or more as at 25 July 2022. ...more

The SFC’s recent regulatory enforcement trends

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

SFC Enforcement Actions Tracker

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. ...more

The SFC’s recent regulatory enforcement trends

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

Hong Kong ‘No Consent’ letters not guaranteed to freeze bank accounts

The Hong Kong Police Commissioner's use of the 'No Consent Regime' to encourage three banks to freeze customer bank accounts, in circumstances where the banks had no independent suspicion of unlawful activity by bank account...more

When is too late? Hong Kong SFC expectations on timely self-reporting

Recent enforcement actions highlight the Hong Kong Securities and Futures Commission’s (SFC) approach to self-reporting under paragraph 12.5(a) of the Code of Conduct for Persons Licensed by or Registered with the SFC...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

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. ...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

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. ...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

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. These reports show that the SFC continues to focus its enforcement...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

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. These reports show that the SFC continues to focus its enforcement...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker (UPDATED)

Recent annual and quarterly reports published by Hong Kong’s Securities and Futures Commission (the SFC) highlight the SFC’s regulatory work for the period dated April 2019 to March 2020 (the 2019/2020 Period), and the period...more

Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker

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

Consultation conclusions on the proposed guidelines on online distribution and advisory platforms and further consultation on...

Background - The Securities and Futures Commission (“SFC”) has recently published the much anticipated conclusions (“Consultation Conclusions”) to the Consultation Paper on the Proposed Guidelines on Online Distribution...more

Bitcoin theft highlights cryptocurrency regulatory uncertainty

The recent suspension of trading on Hong Kong based Bitcoin exchange Bitfinex following the apparent theft of approximately US$60m worth of bitcoins is the latest in a series of Bitcoin thefts. With Bitcoin still in its...more

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