SECURITIES AND FUTURES COMMISSION

AML / KYC

SFC Bans Former UBS Director for Life Over Money Laundering Conviction

By Sanday Chongo Kabange | 03/09/2025

The SFC has permanently barred Suen Kin-wing following convictions for laundering over HKD 134 million and breaching court injunctions.

Securities / Derivatives

HKEX to Enhance Margin Collateral Arrangements from 2 October

By Manesh Samtani | 02/09/2025

HKEX will align interest paid on cash collateral with overnight rates and halve fees for non-cash collateral.

Enforcement

SFC Revokes Licences, Issues Lifetime Bans in $154M Fraud Case

By Editors | 29/08/2025

The SFC has banned senior managers for life over a coordinated scheme that misappropriated client funds through non-existent investment units.

Securities / Derivatives

HK SFC Fines Deutsche Bank $3 Million for Regulatory Breaches

By Editors | 29/08/2025

The fine covers an eight-year period and includes overcharging clients, incorrect risk ratings, and failure to disclose conflicts in research.

Enforcement

SFC Reaffirms “Uncompromising” Approach Towards Criminal Syndicates

By Sanday Chongo Kabange | 27/08/2025

SFC Chairman Kelvin Wong outlined a series of enforcement and governance measures aimed at tackling criminal syndicates and safeguarding market integrity.

Enforcement

SFC Fines HSBC HKD 4.2m for Research Disclosure Breaches

By Sanday Chongo Kabange | 26/08/2025

The SFC cited years of systemic data and control deficiencies that led to thousands of incorrect disclosures in investment research reports.

Crypto / Digital Assets

China Merchants Bank Arm Launches Regulated Crypto Trading in Hong Kong

By Editors | 19/08/2025

The move makes it the first Chinese bank-affiliated firm to offer such services, targeting professional investors under SFC regulations.

Securities / Derivatives

Hong Kong SFC Bans Former Fund Manager for Regulatory Failures

By Sanday Chongo Kabange | 19/08/2025

The SFC fined the former manager-in-charge HK$400,000 for AML control failures related to the management of several private funds.

Crypto / Digital Assets

SFC Imposes Stricter Custody Rules for Crypto Platforms

By Sanday Chongo Kabange | 15/08/2025

The SFC has mandated new custody standards for licensed virtual asset trading platforms, citing global security failures and inadequacies found in local reviews.