Hong Kong’s Securities and Futures Commission (SFC) Enforcement Actions Trends and Tracker
11 May 2021
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 team on cases that have the potential to harm investors and cause serious reputational damage to Hong Kong, as well as highlight some of the other key enforcement trends.
In this publication, we summarise some of these key enforcement trends and also set out details of the SFC’s enforcement actions in Hong Kong where fines of more than HKD1 million have been imposed.
The enforcement actions table is accurate as at 26 April 2021 and is updated on a regular basis.
To stay up to date with the latest trends and developments in business crime and financial services investigations across the globe, you can subscribe to our Investigations Insight blog.