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

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10 March 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 1 March 2021 and is updated on a regular basis

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