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Hong Kong’s Securities and Futures Commission’s (SFC) recent regulatory enforcement trends and tracker

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30 June 2021

Hong Kong’s Securities and Futures Commission (SFC) has recently published its annual report for the period dated April 2020 to March 2021 (the 2020/2021 Period). The report takes a look back at the 2020/2021 Period and also sets out the SFC’s strategic priorities which it plans to pursue in order to fulfil its intention to strengthen Hong Kong’s status as an international financial centre.

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 11 February 2022.