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| Dr Wise's Column (in PDF) | |
| SFC Reprimands Bokhary Securities Limited and Syed Bagh Ali Shah Bokhary (in PDF) | |
| Advice to Investors on Structured Notes (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Suspends Wong Chak Lau, Kate Edith (Formerly Known as Wong Chak Chi, Kate Edith) for Misconduct in a Market Manipulation Case (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Takeovers and Mergers Panel Decision Regarding CLP Holdings Limited Application of Rule 32.1 of the Takeovers Code (in PDF) | |
| SFC Publishes December Issue of SFC Alert (in PDF) | |
| China Life Insurance Company Limited (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Suspends Wong Wai King Mona for Three Months (in PDF) | |
| SFC Reprimands Ho Yuk Ching, Kitty for Circumventing the Exchange Trading Rule, Distorting the Price Mechanism of a Stock and Failing to Keep Records of Orders (in PDF) | |
| SFC Takes Action against Hawking of Futures Contracts (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Relaxation for Former Practitioners to Re-Enter the Industry (in PDF) | |
| Mutual Recognition of Hong Kong and UK Price Stabilizing Rules (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| IPO Subscription (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Advice to Investors on Website Authenticity (in PDF) | |
| Questions to Ask before Investing in a Stock (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC's Assistance to Brokers Offering IPO Financing (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Reprimands Concord Capital Securities Limited for Internal Control Failures (in PDF) | |
| SFC Suspends Lee Po Wing for Failure to Discharge His Duties and Responsibilities as a Dealing Director (in PDF) | |
| SFC Retracts Press Release about Sang Yee Pan, Rondy (in PDF) | |
| SFC Suspends Sang Yee Pan Rondy for 12 Months (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| December Issue of SFC Enforcement Reporter Published (in PDF) | |
| Mainland/Hong Kong Closer Economic Partnership Arrangement - Arrangements Relating to Qualifications of Securities and Futures Industry Practitioners (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Successfully Prosecutes Moy Kwok Chiu Theodore for Acting as an Investment Representative whilst Unregistered (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| "Talk on Wise Investing" on Commercial Radio One (in PDF) | |
| SFC Publishes Calendar of Outstanding Prosecutions (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Chairman's Remarks at CIMA Conference (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| SFC Awarded Costs in Lee Ming-Tee Case (in PDF) | |
| Survey Reports on Investment Research Activities (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilizing Rules) in relation to Recognition of Overseas Rules (in PDF) | |
| SFC Takes Action against Kwan Yick Securities (International) Limited and Its Dealing Directors, Lee Cheng Suet Chun and Lee Kai Yan, for Internal Control Failings (in PDF) | |
| Voluntary Conditional Offer for Shares in Yu Ming Investments Limited (Yu Ming) by Yu Ming Investment Management Limited (YMIML) on behalf of Megaland Development Limited (Megaland) (in PDF) | |
| Closer Economic Partnership Arrangement - Arrangements Relating to Qualifications of Securities and Futures Industry Practitioners (in PDF) | |
| SFC Successfully Prosecutes Wong Lai Sze, Ma Chun Wah and President Securities (Hong Kong) Limited (in PDF) | |
| SFC Successfully Prosecutes Cheung Kee Wee, Cheung Lin Wee and Cheung Ying Wai Eric for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| SFC Quarterly Bulletin (in PDF) | |
| Investor Education Leaflet on Index Tracking Exchange Traded Funds (in PDF) | |
| SFC Releases the Second Quarterly Report for the Financial Year 2003-2004 (in PDF) | |
| Voluntary Conditional Offer for Shares of Yu Ming Investments Limited by Megaland Development Limited (in PDF) | |
| November Issue of SFC Enforcement Reporter Published (in PDF) | |
| COO's Remarks at HKSA Awards Announcement (in PDF) | |
| Securities and Futures Ordinance - Implementation SFC Chairman's Speech at the American Chamber of Commerce (in PDF) | |
| SFC Chairman's Remarks on Corporate Governance Action Plan at the LegCo Panel on Financial Affairs (in PDF) | |
| Working Group on Review of Financial Regulatory Framework for Intermediaries (in PDF) | |
| Advice to Investors on Commodity Futures (in PDF) | |
| SFC and HKEx Publish Submissions on the Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers (in PDF) | |
| SFC Prosecutes Wong Chi Ho for Unlicensed Leveraged Foreign Exchange Trading (in PDF) | |
| SFC Suspends Chan Nap Kee, Joseph for Four Months (in PDF) | |
| Consultation on Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges (in PDF) | |
| SFC Revokes the Licence of Tam Siu Ki Simon for Rat Trading and Other Trading Malpractices (in PDF) | |
| SFC Reprimands Chan Sum Kiu for Failure to Verify a Client's Identity (in PDF) | |
| Advice to Investors on Listed Investment Companies (in PDF) | |
| Guidelines for Regulating Index Tracking Exchange Traded Funds (in PDF) | |
| SFC Suspends Ho Yui Kwong Kenny for Providing Misleading Information during His Interview with the SFC (in PDF) | |
| A Reminder for Claimants of C.A. Pacific Securities Limited (in PDF) | |
| Update on Dual Filing (in PDF) | |
| SFC Reprimands and Fines Richard John Patterson (in PDF) | |
| The SFO and an Insight into the Public Consultation Exercise (in PDF) | |
| First Group of Automated Trading Services Authorised (in PDF) | |
| SFC Clarifies Licensing Issues and Pledges to Continue Facilitating the Industry (in PDF) | |
| SFC Publishes October Issue of SFC Alert (in PDF) | |
| SFC Takes Actions against Unregistered Dealing (in PDF) | |
| SFC's Suspension of Wong Pui Hey Duncan Upheld by the Securities & Futures Appeals Tribunal (in PDF) | |
| IOSCO Annual Conference (in PDF) | |
| SFC Suspends Fan Yee Wai, Richard for Giving False and Misleading Information to SFC, Deceiving His Employer and Other Breaches (in PDF) | |
| SFC Prohibits Do Yu Lun from Re-Entry to the Industry for Life under the SFO for Attempted Theft (in PDF) | |
| October Issue of SFC Enforcement Reporter Published (in PDF) | |
| SFC Suspends Chan Wai Chow Johnnie and Reprimands Lei Shing Hong Securities Limited and Lau Shun King Susanna for Poor Internal Controls on Short Selling (in PDF) | |
| SFC Issues Alert of Frauds to Licensed Corporations (in PDF) | |
| Six Months into the New SFO Regime (in PDF) | |
| Consultation Paper on Proposals to Enhance the Regulation of Listing (in PDF) | |
| Imprudent Settlement Policy by Certain Brokerages on Cash Client Trading (in PDF) | |
| SFC Holds in Abeyance Suspension of Wong Ping Chung, Raymond (in PDF) | |
| SFC Suspends Wong Ping Chung, Raymond for Deceiving Employer in Account Opening and Accepting Orders from Unregistered Staff and Third Party without Authorisation (in PDF) | |
| Yicko Futures Limited (in PDF) | |
| SFC Revokes the Licence of Li Hon Kay (in PDF) | |
| SFC Publishes the Consultation Conclusions on Proposals for a Scripless Securities Market (in PDF) | |
| SFC Chairman's Speech on Corporate Stewardship (in PDF) | |
| Chan Kim Wing and Tang Kin Lok, Eddie Fined for Not Attending SFC Investigation Interviews (in PDF) | |
| SFC Reprimands Lau Chun Wai for Allowing Third Parties to Operate Client Accounts (in PDF) | |
| SFC Reprimands Li Kwok Hung for Accepting Orders without Third Party Written Authorisation (in PDF) | |
| Re-appointment of SFC Chairman (in PDF) | |
| IOSCO Issues Statement of Principles to Address Sell-Side Securities Analysts' Conflicts of Interest (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003 and proposed revisions to the Guidance Note on Position Limits and Large Open Position Reporting Requirements (in PDF) | |
| SFC Successfully Prosecutes Chan Pui Sing Thomas for Acting as an Investment Representative Whilst Unregistered (in PDF) | |
| The Risk of Pooling in Margin Trading (in PDF) | |
| Securities Exchange Offer by way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Corporate Risk Management - The New Challenges SFC Chairman's Speech at Risk Management Association Hong Kong (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Securities Exchange Offer by Way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Securities Exchange Offer by Way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| SFC Reprimands Yardley Securities Limited and Suspends Leung Tak Shing Raymond for Improperly Destroying Documents, Failing to Issue Statements of Account and Contract Notes, and Creating a Conflict of Interest (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Securities Exchange Offer by Way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| SFC Successfully Prosecutes Wong Wai Kuen for Acting as Investment Representative Whilst Unregistered (in PDF) | |
| SFC Invites Teachers to Investor Education Workshops (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Securities Exchange Offer by way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| Lam Yat Wa Sentenced in Market Manipulation Case (in PDF) | |
| Securities Exchange Offer by way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| SFC Suspends Siu So Fun Sendy for Facilitating Unregistered Dealing Activities (in PDF) | |
| Securities Exchange Offer by way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| Unconditional Cash Offer for All Shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are Indirect Wholly-owned Subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Securities Exchange Offer by way of a Scheme of Arrangement for Skynet (International Group) Holdings Limited (in PDF) | |
| Licensing Information Booklet (in PDF) | |
| Possible Change of Control and Injection of Assets into Sunny Global Holdings Limited (the Company) by Independent Third Parties (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| SFC Releases FAQs, Application Form and Checklists on Real Estate Investment Trusts (REITs) on Its Website (in PDF) | |
| SFC Reprimands Sharegain Development Limited, Ko Ka Wo and Ming Shui Sum for Supervision and Internal Control Failures (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| OUHK, SFC and HKEx Joint Press Release - Investor Education Lectures for the Public (in PDF) | |
| SFC Publishes August Issue of SFC Alert (in PDF) | |
| Unconditional cash offer for all shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are indirect wholly-owned subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Successfully Prosecutes Tiffit Securities (HK) Ltd and its Managing Director, Kwok Wood Yan for Providing Misleading Information to the SFC and Failing to Notify the SFC of its Liquid Capital Deficiencies, and its Dealing Director, Fong Shik Yee for Breaches Relating to the Keeping of Trust Accounts (in PDF) | |
| SFC Reprimands Hou Tak Securities Limited and Van Tak Sun, Winston for Internal Control Failings, and Wong Yuet Wah, Cynthia for Inadequate Supervision and Failure to Ensure Proper Account Opening (in PDF) | |
| Unconditional Cash Offer for all Shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are Indirect wholly-owned Subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Quarterly Bulletin (in PDF) | |
| Unconditional Cash Offer for all Shares in China Strategic Holdings Limited by Kingsway SW Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, which are Indirect wholly-owned Subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Releases the First Quarterly Report for the Financial Year 2003-2004 (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Reprimands Victory Enterprises (Investment) Limited for Poor Internal Controls (in PDF) | |
| Possible Change of Control and Injection of Assets into Sunny Global Holdings Limited (the Company) by Independent Third Parties (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| August Issue of SFC Enforcement Reporter Published (in PDF) | |
| The Hong Kong Brokerage Industry - Challenges and Reform SFC Chairman's Speech at Hong Kong Securities Institute (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Revised Outline on Disclosure of Interests (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Watch Out for "Boiler Rooms" (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| Management Companies for Real Estate Investment Trusts (in PDF) | |
| SFC Suspends Chiu Ming for Failure to Inquire into Suspicious Trades (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Welcomes Appointment of Financial Secretary (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| "Know the SFC" VCDs Available Now (in PDF) | |
| Proposed Privatisation of JCG Holdings Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in Relevant Securities in JCG Holdings Limited (JCG) (in PDF) | |
| SFC Reprimands Get Nice Investment Limited and its Management for Breaching the Rules of the Exchange and Lack of Audit Trails (in PDF) | |
| SFC Welcomes the Re-appointment of Mr Raymond Kwok as Non-Executive Director (in PDF) | |
| Code on Real Estate Investment Trusts (in PDF) | |
| SFC Successfully Prosecutes Another Market Manipulator (in PDF) | |
| SFC Successfully Prosecutes Prosperous Securities Limited for Providing Misleading Information to the SFC, and Prosperous, its Managing Director, Chan Man Ching and its Former Dealing Director Lee Po Wing for Failure to Notify the SFC of its Liquid Capital Deficiencies (in PDF) | |
| SFC Pledges Faster Licensing Applications (in PDF) | |
| Mandatory Unconditional Cash Offer of Leefung-Asco Printers Holdings Limited by SNP Corporation Limited - Disclosure of Dealings in the Relevant Securities of Leefung-Asco Printers Holdings Limited (in PDF) | |
| SFC Suspends Fong Dig Kwan Laurence for Five Months for Executing Possibly Illegal and Improper Trades (in PDF) | |
| Fund Management Activities Survey 2002 (in PDF) | |
| SFC Prosecutes Sang Yee Pan Rondy for Short Selling (in PDF) | |
| SFC Successfully Prosecutes Another Market Manipulator (in PDF) | |
| Update on Dual Filing (in PDF) | |
| SFC Consults the Public on Recognition of the UK Price Stabilizing Rules under the Securities and Futures (Price Stabilizing) Rules (in PDF) | |
| "Know the SFC" Video (in PDF) | |
| 100 Days into the New Licensing Regime (in PDF) | |
| SFC Successfully Prosecutes Wong Wai Ying and Chiu Kwong Chi for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| July Issue of SFC Enforcement Reporter Published (in PDF) | |
| Conditional Cash Offer for All Shares in China Strategic Holdings Limited by Kingsway SW; Securities Limited on behalf of Calisan Developments Limited and Well Orient Limited, Which are Indirect Wholly-Owned Subsidiaries of Paul Y.-ITC Construction Holdings Limited and Hanny Holdings Limited Respectively (in PDF) | |
| SFC Prosecutes Tung Fai and Wisdom Latch Ltd for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Helping Retail Investors to "Get Ready to Invest" (in PDF) | |
| LegCo FA Panel (in PDF) | |
| China Rare Earth Limited (in PDF) | |
| SFC Reprimands Luk Wai Jong Anita, Mau Ying Yuen and CM-CCS Securities Limited for Improper Conduct Relating to Handling of Client Accounts (in PDF) | |
| SFC's New Office Now Operational (in PDF) | |
| SFC Reprimands Cheung Lai Ping for Failure to Handle Properly Client Complaints (in PDF) | |
| Declaration on Co-operation and Supervision of Cross-Border Investment Management Activity with Australian Securities and Investments Commission (in PDF) | |
| SFC Successfully Prosecutes Lai Ping Keung for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Disclosure of Dealings in Relevant Securities in China Merchants China Direct Investments Limited (China Direct) (in PDF) | |
| Disciplinary Focus of the SFC (in PDF) | |
| SFC Chairman's Speech in Berlin (in PDF) | |
| SFC Reprimands Ting Chuk Kwan, a Research Analyst, for Selective Disclosure of Price Sensitive Information (in PDF) | |
| SFC Publishes June Issue of SFC Alert (in PDF) | |
| SFC to Move to Chater House (in PDF) | |
| Expert Group Report - LegCo Panel on Financial Affairs (in PDF) | |
| Companies (Amendment) Bill 2003 (in PDF) | |
| ICAC Actions (in PDF) | |
| SFC Welcomes White Paper on Corporate Governance in Asia (in PDF) | |
| SFC Successfully Prosecutes Another Market Manipulator (in PDF) | |
| June Issue of SFC Enforcement Reporter Published (in PDF) | |
| More Investor Education on Hedge Funds (in PDF) | |
| Shareholders Group (in PDF) | |
| SFC Successfully Prosecutes Ng Man Wai and Chan Kwok Ho Raymond for Issuance of Unauthorised Advertisements and Ng Man Wai for Carrying on an Unregistered Advisory Business (in PDF) | |
| SFC Successfully Prosecutes Chau King Nui, Helen for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Market Manipulators Given Suspended Prison Sentence (in PDF) | |
| 60 Days into the New Licensing Regime (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Hong Kong Exchanges and Clearing Limited & Securities & Futures Commission - Joint Press Release (in PDF) | |
| SFC Welcomes Appointments of Advisory Committee Members (in PDF) | |
| Smooth Implementation of Dual Filing (in PDF) | |
| SFC Successfully Prosecutes Tartan Securities (Asia) Limited and its Director, Lim Boon Kick for Failure to Notify SFC of its Liquid Capital Deficiencies (in PDF) | |
| SFC Successfully Prosecutes Wong Lin Chooi for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2003 (in PDF) | |
| SFC Welcomes Appointments of Mr Peter Au-Yang as Executive Director and Dr York Liao, JP as Non-Executive Director (in PDF) | |
| SFC Reprimands Tam Chi Shing for Breaching the Code of Conduct (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| SFC Successfully Prosecutes Three Market Manipulators in a Day (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| SFC Appoints Dual Filing Advisory Group (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| SFC Quarterly Bulletin (in PDF) | |
| SFC Takes Action Against Cargary Securities Limited and Its Directors for Exercising Clients' Rights to Shares Without Clients' Consent (in PDF) | |
| May Issue of SFC Enforcement Reporter Published (in PDF) | |
| May Issue of SFC Enforcement Reporter Published (in PDF) | |
| SFC Publishes Annual Report 2002-2003 (in PDF) | |
| SFC Welcomes Process Review Panel Report (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| Brokerages' Transaction Volume Increases Amid SARS (in PDF) | |
| SFC Welcomes Sentencing on Gay Giano Case (in PDF) | |
| Investor Education on Portfolio Planning (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (Revised) (in PDF) | |
| Applications for Funds Authorisation Continue (Revised) (in PDF) | |
| Applications for Funds Authorisation Continue (in PDF) | |
| SFC Suspends Kwok Wai Keung for Front Running (in PDF) | |
| Possible Privatisation of Kerry Properties Limited by Kerry Holdings Limited by Way of a Scheme of Arrangement - Disclosure of Dealings in the Relevant Securities of Kerry Properties Limited (in PDF) | |
| SFC Suspends the Licence of Luk Sze Man Anne for Turning a Blind Eye to Possibly Illegal and Improper Trades (in PDF) | |
| SFC Suspends the Licence of Kwan Wai Fong for Misconduct Relating to Handling Client Accounts (in PDF) | |
| 30 Days into the New Licensing Regime (in PDF) | |
| SFC Reprimands Phillip Securities (HK) Limited for Poor Internal Controls (in PDF) | |
| SFC Appoints Takeovers Panel and Takeovers Appeal Committee Members (in PDF) | |
| SFC Suspends Ng Wai Chi, Iris for Misconduct in a Market Manipulation Case (in PDF) | |
| The Takeovers Executive of the Securities and Futures Commission Sanctions the Executive Directors of International Capital Network Holdings Limited, Mr. Hui Chuen Kin, Daniel and Mr. Lui Bing Kin, Michael (in PDF) | |
| SFC Reprimands Global Credit Securities Limited and Yip Wan Fung, Christie (in PDF) | |
| SFC Publishes April Issue of SFC Alert (in PDF) | |
| SFC Extends the Consultation Period for the Consultation Paper for Authorisation of Index Tracking Exchange Traded Funds (in PDF) | |
| Measures to Improve Business Environment of the Stockbroking Industry (in PDF) | |
| SFC Seeks Investors' Views on Investment Research Activities (in PDF) | |
| Consultation on the Regulation of Listing Matters (in PDF) | |
| SFC Welcomes the Appointment of HKEx's CE (in PDF) | |
| SFC Successfully Prosecutes Colliers International Agency Limited, Piers Daniel Carlyle Brunner and Kar-yan Rosaline Lam for Issuance of Unauthorised Investment Advertisements (in PDF) | |
| April Issue of SFC Enforcement Reporter Published (in PDF) | |
| Chairman's Remarks on Corporate Governance at the LegCo Panel on Financial Affairs (in PDF) | |
| SFC Revokes the Registration of Yeung Tsz Chung for Theft (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Proposed Revisions to the Guidelines for Registered Persons Using the Internet to Collect Application for Securities in an Initial Public Offering (in PDF) | |
| SFC Suspends Ho Ying Wai for Breaching the Code of Conduct and the Internal Policies of His Employer (in PDF) | |
| Tai Wah Securities Limited (in PDF) | |
| SFC Extends the Consultation Period for the Draft Code on Real Estate Investment Trusts (in PDF) | |
| SFC Takes Action Against Chu Yuet Wah and Chu Yuk Yui of Kingston Securities Limited (in PDF) | |
| Intermediaries' Contingency Plans for Possible Staff Infection of Atypical Pneumonia (in PDF) | |
| SFC Prosecutes Ho Yan Lock for Provision of False Information (in PDF) | |
| SFC Prosecutes Chew Chun Ming Anthony for Unlicensed Leveraged Foreign Exchange Trading (in PDF) | |
| SFC Reprimands Chong Tin Lung Benny for Misconduct (in PDF) | |
| Securities and Futures Ordinance Becomes Effective on 1 April More Initiatives to Assist Industry and Protect Investors (in PDF) | |
| SFC Chairman's Hong Kong Letter on Securities and Futures Ordinance (in PDF) | |
| Codes, Guidelines and Forms for Implementation of the SFO (in PDF) | |
| Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2003 (in PDF) | |
| Securities and Futures Ordinance - Disclosure of Interests (in PDF) | |
| SFC Reprimands Li Cheung for Failings in Warrants Placements and Conducting Personal Trades Behind Employer's Back (in PDF) | |
| Securities and Futures Ordinance - Licensing Guidelines (in PDF) | |
| SFC Steps Up Review of Brokers' Advertisements on Promotional Offers (in PDF) | |
| SFC Reprimands IPO Securities, its Director and Representative for Poor Internal Controls and Breaches of the Placing Guidelines for Derivative Warrants (in PDF) | |
| SFC Appoints and Re-appoints Investor Education Advisory Committee (IEAC) Members (in PDF) | |
| SFC Prosecutes Maxwick Investment Limited and Ms Leong On Kei Angela for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| 1. SFC Prosecutes Chan Shing Chun for Short Selling and Market Manipulation; 2. SFC Prosecutes Choy Tin Woo Johnnie for Short Selling (in PDF) | |
| SFC Suspends Phoenix Capital Futures Limited and Chan Siu Man, Kirby for Window Dressing and Other Breaches (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Guidance Note on Position Limits and Large Open Position Reporting Requirements (in PDF) | |
| Consultation Conclusions on the Proposed Revisions to the Guidance Note Issued by the SFC on Money Laundering (in PDF) | |
| SFC Welcomes Expert Group Report (in PDF) | |
| Dual Filing Arrangement under the Securities and Futures Ordinance (in PDF) | |
| Codes, Guidelines and Forms for Implementation of the SFO (in PDF) | |
| Chairman Presents SFC Budget at the LegCo Panel on Financial Affairs (in PDF) | |
| SFC Reprimands Concord Capital Brokerage Limited, Wat Ying Hang and Tsang Tak Chuen for Failures Relating to Unregistered Dealing Activities (in PDF) | |
| SFC Chairman's Speech on "Investors and the New Securities and Futures Ordinance" (in PDF) | |
| Bankruptcy Order against Law Siu Kong, Christopher (in PDF) | |
| New Commission Rates and Incentives Promoted by Securities Dealers (in PDF) | |
| Consultation Paper for Authorisation of Index Tracking Exchange Traded Funds (in PDF) | |
| SFC Revokes the Registration of Leung Yuen Yee, Winnie for Misconduct (in PDF) | |
| Securities and Futures Ordinance - Guidelines on Transitional Arrangements and Guidelines on Waivers of Certain Licensing Fees (in PDF) | |
| Publication of New SFC Licensing Application and Notification Forms (in PDF) | |
| Codes, Guidelines and Forms for Implementation of the SFO (in PDF) | |
| SFC Welcomes Appointment of Members of SFC (HKEC Listing) Committee (in PDF) | |
| Securities and Futures Ordinance - Feedback on Disclosure of Interests Forms and Guidance (in PDF) | |
| SFC Reprimands Chan Kai Wang Kevin for Failing to Understand the Listing Rules and Ineffective Internal Controls (in PDF) | |
| SFC Steps Up Investor Education on Bonds (in PDF) | |
| SFC Successfully Prosecutes Yip Kwong for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| March Issue of SFC Enforcement Reporter Published (in PDF) | |
| Independent Exam Bodies to Run Industry Exams (in PDF) | |
| SFC Clarifies Regulatory Issues under the SFO (in PDF) | |
| Codes, Guidelines and Forms for Implementation of the SFO (in PDF) | |
| SFC Consults the Public on Draft Code on Real Estate Investment Trusts (in PDF) | |
| Securities and Futures Ordinance - Disclosure of Interests (in PDF) | |
| Licensing Fees (in PDF) | |
| Voluntary Conditional Offer for Shares of Quality Healthcare Asia Limited by Caduceus Medica Limited (in PDF) | |
| 1. SFC Suspends the Registrations of Chau Kwok Hung for Signing a False Statement; 2. SFC Suspends the Registration of Liu Cheuk Sun for Making a False Statement and Breaching the Code of Conduct; 3. SFC Reprimands Tsui Pui Yin for Breaching the Code of Conduct (in PDF) | |
| SFC Welcomes Budget Proposals (in PDF) | |
| SFC Signs Lease for New Office Premises (in PDF) | |
| SFC Reprimands Ong Asia Securities (HK) Limited and Lynn Kwok Hung George for Failing to Understand the Listing Rules and to Keep an Adequate Client Order Audit Trail (in PDF) | |
| Voluntary Conditional Offer for Shares of Quality Healthcare Asia Limited by Caduceus Medica Limited (in PDF) | |
| Voluntary Conditional Offer for Shares of Quality Healthcare Asia Limited by Caduceus Medica Limited (in PDF) | |
| Statement by SFC Chairman (in PDF) | |
| Audit Committee Report on Investigation into Certain Anonymous Allegations (in PDF) | |