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

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29 September 2020

The SFC published its annual report for 2019/2020 in June and recently 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 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 29 September 2020 and is updated on a regular basis.

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