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Securities & Futures Commission

Press Releases       

2004-December-31	Voluntary Conditional Cash Offers by Ease Ever Investments Limited - Disclosure of Dealings in Relevant Securities of Elec & Eltek (in PDF)
2004-December-31	SFC Appoints Takeovers Panel and Takeovers Appeal Committee Member (in PDF)
2004-December-31	SFC Welcomes Appointment of Non-Executive Directors (in PDF)
2004-December-30	Conviction Quashed (in PDF)
2004-December-30	Breaches in Position Limits (in PDF)
2004-December-28	Dr Wise on Fees and Charges (in PDF)
2004-December-24	SFC Suspends Cheng Wai Shan for Deceiving Employer in Account Opening and Facilitating Unauthorised Trades (in PDF)
2004-December-24	SFC Reprimands Tiffit Securities (Hong Kong) Limited for Window Dressing Its Financial Position and Suspends Kwok Wood Yan and Fong Shik Yee (in PDF)
2004-December-24	IOSCO Code of Conduct Fundamentals for Credit Rating Agencies (in PDF)
2004-December-23	SFC Takes Action Against Tong on Jimmy (in PDF)
2004-December-22	Mandatory Conditional Cash Offers by Kingston Securities Limited on Behalf of Earnest Equity Limited - Disclosure of Dealings in Relevant Securities of Capital Strategic Investment Limited (Capital Strategic) (in PDF)
2004-December-22	SFC Suspends Shum Lik Keung for Supervisory and Other Failings (in PDF)
2004-December-22	Consultation Paper on the Review of the Investor Compensation Fund (in PDF)
2004-December-22	December Issue of SFC Enforcement Reporter Published (in PDF)
2004-December-21	Mandatory Conditional Cash Offers by Kingston Securities Limited on Behalf of Earnest Equity Limited - Disclosure of Dealings in Relevant Securities of Capital Strategic Investment Limited (Capital Strategic) (in PDF)
2004-December-17	Joint Exchange/SFC Sponsor Enforcement Action - Suspension of Oriental Patron Asia Limited ("the Sponsor") and its Principal Supervisor, Mr Leung Chin Sing Rabo ("Mr Rabo Leung") for Withholding Relevant Information from the Exchange (in PDF)
2004-December-17	SFC Reprimands Grand Onward Securities Limited and Suspends Tsang Chi Suen Trini and Wong Tin Fuk Alex (in PDF)
2004-December-16	SFC Publishes December Issue of SFC Alert (in PDF)
2004-December-16	SFC Prosecutes Shu Kwan Long for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-December-15	Mandatory Conditional Cash Offers by ICEA Capital Limited on Behalf of Midea International Corporation Company Limited - Disclosure of Dealings in Relevant Securities of Hualing Holdings Limited (Hualing) (in PDF)
2004-December-15	SFC Suspends Kam Chun Wah, Dickson for Failings Relating to Account Opening (in PDF)
2004-December-15	SFC Suspends Shiu Yau Wah for Hawking of Futures Contracts (in PDF)
2004-December-13	SFC Prosecutes Tsang Wai Lin for Unlicensed Leveraged Foreign Exchange Trading (in PDF)
2004-December-10	SFC Awarded the Good People Management Award (in PDF)
2004-December-9	Link REIT (Supplementary) (in PDF)
2004-December-9	SFC Suspends Wong Lee Man for Failings in relation to Account Opening (in PDF)
2004-December-9	Link REIT (in PDF)
2004-December-9	Courses to Facilitate Former Practitioners to Re-Enter the Industry (in PDF)
2004-December-8	Assistance to Brokers Offering IPO Financing (in PDF)
2004-December-7	High Court Dismissed an Appeal Lodged by Hong Kong Forex Investment Limited (in PDF)
2004-December-4	Code of Conduct Fundamentals for Credit Rating Agencies (in PDF)
2004-December-3	Commencement of Schedule 1 and Part 1 of Schedule 4 of the Companies (Amendment) Ordinance 2004 (in PDF)
2004-December-2	Theme Inspection of Sponsors (in PDF)
2004-November-30	Dr Wise on Concept Stocks (in PDF)
2004-November-30	SFC Reprimands President Securities (Hong Kong) Limited and Suspends Ma Chun Wah for Three Months (in PDF)
2004-November-30	Consultation Paper on a Review of the Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2004-November-29	SFC's Advice to Brokers Offering IPO Financing (in PDF)
2004-November-26	Mandatory Conditional Cash Offers by ICEA Capital Limited on Behalf of Midea International Corporation Company Limited - Disclosure of Dealings in Relevant Securities of Hualing Holdings Limited (Hualing) (in PDF)
2004-November-26	SFC Becomes ACCA Approved CPD Employer and Accredited Employer (in PDF)
2004-November-26	Consultation Conclusions on Disclosure of Securities Services Related Fees and Charges (in PDF)
2004-November-25	SFC Prosecutes Kuk Po Shun for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-November-25	SFC Prosecutes SinoPac Capital Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-November-25	Central Banks and Securities Regulators Release Recommendations for Central Counterparties (in PDF)
2004-November-25	SFC Reminds Intermediaries to Closely Follow Telephone Recording Requirements (in PDF)
2004-November-25	SFC Reprimands and Fines Bright Smart and Yip Mow Lum Peter for Publishing False and Misleading Advertisements Despite Repeated Warnings (in PDF)
2004-November-25	SFC Signs Memorandum of Understanding with the Philippine Securities and Exchange Commission (in PDF)
2004-November-24	Regulatory Co-operation with the Securities and Exchange Commission of Thailand (in PDF)
2004-November-23	Mandatory Conditional Cash Offers by ICEA Capital Limited on Behalf of Midea International Corporation Company Limited - Disclosure of Dealings in Relevant Securities of Hualing Holdings Limited (Hualing) (in PDF)
2004-November-23	Special Issue of Dr Wise's Column (in PDF)
2004-November-19	Philippine Stock Exchange Chairperson Visits SFC (in PDF)
2004-November-19	SFC Quarterly Bulletin (in PDF)
2004-November-17	November Issue of SFC Enforcement Reporter Published (in PDF)
2004-November-16	Update on Dual Filing (in PDF)
2004-November-15	SFC Prosecutes Leung Tung Wa for Market Manipulation (in PDF)
2004-November-15	SFC Reprimands GC Capital (Asia) Limited for Failure to Recognise and Discharge its Duties to Identify Suspicious Transactions and to Know its Clients (in PDF)
2004-November-12	SFC Prosecutes Chang Kit Sun Lama for Aiding and Abetting Unregistered Dealing (in PDF)
2004-November-12	SFC Releases the Second Quarterly Report for the Financial Year 2004-2005 (in PDF)
2004-November-12	Consultation Conclusions on Proposed Repeal of Certain Prospectus Class Exemptions and Gazettal of Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2004 and Securities and Futures (Price Stabilizing) (Amendment) Rules 2004 (in PDF)
2004-November-10	SFC Prosecutes Wong Lee Chun for Unlicensed Investment Advising and Li Ping Hei Benjamin for Aiding and Abetting the Issuance of Unauthorised Advertisement (in PDF)
2004-November-10	SFC Reprimands and Fines BNP Paribas Peregrine Securities Limited for Late Reporting of FRR Breaches (in PDF)
2004-November-10	SFC Bans Cheung Kwok Chiu, Kris for Life for Poor Financial Integrity and False Report to SFC (in PDF)
2004-November-9	SFC Prosecutes Sky Victory Limited and Siu Wai Keung for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-November-8	SFC Settles Disciplinary Action with Wong Seng In Victor (in PDF)
2004-November-5	SFC Launches New Website and a Revamped eIRC (in PDF)
2004-November-5	"Foundations in Wealth Management" TV Programme (in PDF)
2004-November-4	Investments in SFC-Authorised REITs by SFC-Authorised Collective Investment Schemes (in PDF)
2004-November-3	Consultation Conclusions on Regulations to Address Analyst Conflicts of Interest (in PDF)
2004-November-3	SFC Reprimands Chan Ngok Ming Securities Limited for Internal Control Failures (in PDF)
2004-November-1	SFC Prosecutes Chow Lung On for Market Manipulation (in PDF)
2004-November-28	SFC Prosecutes Cheung Tak Shun Dickson for Unregistered Dealing (in PDF)
2004-October-28	SFC Prosecutes Tsui Muk Lan for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-October-28	SFC Prosecutes Lo Wai Shing Felix for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-October-26	Dr Wise Talks on Viatical Settlements (in PDF)
2004-October-21	SFC Welcomes the Re-Appointment of Mr Alan Linning as Executive Director (Enforcement) - Redeployment of Mr Peter Au-Yang to Double-up as Executive Director (Corporate Finance) (in PDF)
2004-October-21	Review by SFC Executive Director of Corporate Finance - From Front-End Vetting to Enforcement and Deterrence (in PDF)
2004-October-21	IOSCO Technical Committee Conference on Global Securities Markets (in PDF)
2004-October-20	SFC Looks into Suspicious Websites - Names on Alert List Hit 200 (in PDF)
2004-October-19	SEHK/SFC Joint Press Release - Consultation Conclusions and Amendments to the Listing Rules Relating to the Regulation of Sponsors and Independent Financial Advisers (in PDF)
2004-October-18	The Takeovers Executive of the SFC Sanctions GP NanoTechnology Group Limited and its Directors for Breach of Takeovers Code (in PDF)
2004-October-18	SFC Suspends Choy Tin Woo Johnnie for Providing Misleading Information and Illegal Short Selling (in PDF)
2004-October-15	SFC Chairman's Speech at HKICS Conference (in PDF)
2004-October-15	October Issue of SFC Enforcement Reporter Published (in PDF)
2004-October-15	SFC Invites Teachers to Join Investor Education Workshops (in PDF)
2004-October-14	SFC Prosecutes Wong Man Hung Patrick for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-October-14	SFC Prosecutes Ko Wai Yu for Issuance of Unauthorised Advertisements and Holding Out as Performing a Regulated Function (in PDF)
2004-October-14	SFC Publishes October Issue of SFC Alert (in PDF)
2004-October-8	IOSCO Consultation on Code of Conduct Fundamentals for Credit Rating Agencies (in PDF)
2004-October-7	Maintaining a Robust Hedge Funds Regulatory Regime (in PDF)
2004-October-7	SFC Prosecutes Five Companies for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-September-30	SFC Prosecutes Lee Shi Tat Caric for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-September-30	SFC Prosecutes Wan Wai Chi, Katherine for Not Attending SFC Investigation Interviews (in PDF)
2004-September-30	SFC Takes Action Against Cold Calling (in PDF)
2004-September-28	SFC Consults on Proposed Measures to Address Risks Arising from Securities Margin Financing (in PDF)
2004-September-28	Dr Wise on Investor Participant Accounts (in PDF)
2004-September-27	SFC Prosecutes Yeung Ka Sing Carson for Breaching the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-September-27	Cold Calling is Illegal (in PDF)
2004-September-27	SFC Chairman's Speech at HKIFA Luncheon (in PDF)
2004-September-22	SFC Prosecutes Ng Kwok Kuen for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-September-22	SFC Prosecutes a Listed Company and its Director for Providing False or Misleading Information (in PDF)
2004-September-20	SFC Suspends Chung Chi Yip for Failings in Relation to Account Opening (in PDF)
2004-September-16	New Investor Education Radio Programme for Senior Citizens (in PDF)
2004-September-15	SFC Prosecutes Ho Sze Man and Yuen Kim Shing for Market Manipulation (in PDF)
2004-September-15	SFC Prosecutes a Broker for Short Selling (in PDF)
2004-September-14	SFC Reprimands Hantec International Limited for Internal Control Failings (in PDF)
2004-September-14	SFC Reprimands Hantec International Finance Group Limited (formerly known as HT Securities Limited) for Poor Internal Controls and Account Executive Supervision (in PDF)
2004-September-14	SFC Reprimands Cheung Tung Woon and China Southern Securities (Hong Kong) Limited for Poor Internal Controls (in PDF)
2004-September-13	September Issue of SFC Enforcement Reporter Published (in PDF)
2004-September-10	SFC Chairman's Testimony Before the US Senate Banking Committee (in PDF)
2004-September-8	SFC Prosecutes Xu Li for Not Attending SFC Investigation Interviews (in PDF)
2004-September-8	SFC Reprimands Infast Brokerage Limited for Failing to Detect Unauthorised Dealings in Clients' Accounts (in PDF)
2004-September-7	SFC Severely Reprimands EAA Securities Ltd for Internal Control Failures and Reprimands Robert Fuyuan Wu for Inadequate Supervision (in PDF)
2004-September-6	SFC and Lingnan University Jointly Organise a Credit-based Investor Education Course (in PDF)
2004-September-6	SFC Explains Disciplinary Process in Plain Language (in PDF)
2004-September-3	More Smart Investor Awards Given Out (in PDF)
2004-September-1	SFC Prosecutes Wong Pui Ming for Market Manipulation (in PDF)
2004-September-1	SFC Prosecutes Chiang Chip Man for Unlicensed Investment Advising and Lai Dick Wai for Aiding and Abetting (in PDF)
2004-September-1	SFC Prosecutes Cheung Choi Chuen for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-September-1	SFC Prosecutes Yip Sheung Chi for Aiding and Abetting Unlicensed Leveraged Foreign Exchange Trading (in PDF)
2004-September-1	SFC Prosecutes Summers Overseas Limited and Choo Yeow Ming for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-August-31	Review of the Financial Performance of Category C Stock Exchange Participants (in PDF)
2004-August-31	Dr Wise Explains SFC's Settlement Policy in Disciplinary Proceedings (in PDF)
2004-August-30	SFC Prosecutes Mong Man Wai William for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-August-25	SFC Successfully Prosecutes Wong Chi Wai for Short Selling (in PDF)
2004-August-20	SFC Quarterly Bulletin (in PDF)
2004-August-19	SFC Reprimands and Fines UBS Securities Hong Kong Limited (in PDF)
2004-August-19	SFC Publishes August Issue of SFC Alert (in PDF)
2004-August-18	Consultation on Proposed Repeal of Certain Prospectus Class Exemptions (in PDF)
2004-August-17	Towry Law (Asia) HK Limited Offers Ex-Gratia Payments to Investors in GDT and GOT - SFC Settles Disciplinary Proceedings with a Severe Reprimand (in PDF)
2004-August-16	August Issue of SFC Enforcement Reporter Published (in PDF)
2004-August-13	SFC Releases the First Quarterly Report for the Financial Year 2004-2005 (in PDF)
2004-August-2	Appeals Tribunal Upholds SFC's Decision to Suspend Research Analyst Wong Wing Fai Eric for Frontrunning Research Reports (in PDF)
2004-August-2	SFC Suspends and Fines Pacific Sun Investment Management (Hong Kong) Limited and Andrew Pieter Mantel (in PDF)
2004-August-2	SFC Reprimands Asian Capital Partners (HK) Limited and Andrew John Peregrine Korner (in PDF)
2004-July-29	SFC Welcomes the Re-appointment of Mr Raymond Kwok as Non-Executive Director (in PDF)
2004-July-28	SFC Successfully Prosecutes Han Sze Chao Richard & Super Glory International Ltd for Market Manipulation (in PDF)
2004-July-28	SFC Suspends Sy Pan Pan for Failings Relating to Account Opening (in PDF)
2004-July-28	SFC Suspends Lau Wai Lun for Failings Relating to Account Opening and Operation of a Client Account by a Third Party (in PDF)
2004-July-27	Dr Wise's Advice on Choosing Derivative Warrants (in PDF)
2004-July-27	SFC Suspends Yau Oi Yi for Hawking of Futures Contracts (in PDF)
2004-July-26	SFC Accepts a Payment in Exchange for Suspending the Licence of Li Man Hin (in PDF)
2004-July-22	IPO Subscription Refund Cheques (in PDF)
2004-July-21	Update on Dual Filing (in PDF)
2004-July-20	SFC Suspends Chu Sung Hei for Failings in Relation to Operation of Client Account (in PDF)
2004-July-15	Migration to the New Regime under the Securities and Futures Ordinance (in PDF)
2004-July-9	July Issue of SFC Enforcement Reporter Published (in PDF)
2004-July-8	Report of the Survey on Fund Trading Practices (Market Timing, Late Trading and Selective Disclosure) (in PDF)
2004-July-7	SFC Suspends Andrew Gregory Eden for Falsely and Misleadingly Holding Out an Unregistered Firm as Investment Adviser (in PDF)
2004-July-7	SFC Chairman's Speech at Labuan Conference (in PDF)
2004-July-6	SFC Obtains Judgment regarding the Appointment of an Administrator in respect of the Property of Charles Schmitt (in PDF)
2004-July-6	Fund Management Activities Survey 2003 (in PDF)
2004-June-30	SFC Welcomes New Advisory Committee Members (in PDF)
2004-June-30	SFC Welcomes New Advisory Committee Members (in PDF)
2004-June-30	Public Shareholders Group (in PDF)
2004-June-24	SFC Advises Licensed Corporations on Ways to Combat Fake Websites (in PDF)
2004-June-23	SFC Prosecutes Louis Rajkumar Page for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2004-June-18	SFC Publishes June Issue of SFC Alert (in PDF)
2004-June-16	SFC Successfully Prosecutes Evergreen Securities Limited and Cheng Hok Wai for Breaches of the Financial Resources Rules (in PDF)
2004-June-16	SFC Has Obtained an Interim Injunction Against Charles Schmitt (in PDF)
2004-June-15	SFC Issues Restriction Notice on Charles Schmitt & Associates Limited (in PDF)
2004-June-14	SFC Successfully Prosecutes Upbest Investment Company Limited and its Financial Controller Choy Ye King Andy for Providing Misleading Information and Failing to Notify the SFC of its Liquid Capital Deficiencies (in PDF)
2004-June-14	SFAT Upholds SFC's Ability to Adjust Disciplinary Penalties to Suit Circumstances (in PDF)
2004-June-11	SFC Launches New Investor Education TV Drama with RTHK (in PDF)
2004-June-10	June Issue of SFC Enforcement Reporter Published (in PDF)
2004-June-9	Chung Man Keung Sentenced to Suspended Imprisonment in Market Manipulation Case (in PDF)
2004-June-7	SFC Suspends Kwok Wai Shun for Failings relating to the Operation of a Client Account by a Third Party (in PDF)
2004-June-3	SFC Suspends Chan Sin Yu, Millie for Acting as a Dealing Director in Name Only (in PDF)
2004-June-3	SFC Suspends Li Fung Kuen, Maggy for Falsely Signing as a Witness and Facilitating Unlicensed Dealing by a Settlement Clerk (in PDF)
2004-May-31	Update on Dual Filing (in PDF)
2004-May-27	Towry Law (Asia) HK Limited (in PDF)
2004-May-25	Regulatory Co-operation with the Capital Market Supervisory Agency of Indonesia (in PDF)
2004-May-25	Dr Wise Talks on Investing in Bonds (in PDF)
2004-May-25	Man Given Suspended Imprisonment for Defrauding SFC (in PDF)
2004-May-21	Person Sentenced to Community Services for Breach of Protection of Investors Ordinance (in PDF)
2004-May-21	SFC Revokes the Licence of Chow Yuk Wah for Misappropriation (in PDF)
2004-May-21	SFC Quarterly Bulletin (in PDF)
2004-May-21	IOSCO Annual Conference 2004 (in PDF)
2004-May-20	SFC Severely Reprimands Selina & Co Limited and Reprimands Ko Tze Ha, Salina for Internal Control Failings (in PDF)
2004-May-20	SFC Reprimands CLSA Limited (in PDF)
2004-May-19	Speech by SFC Chairman at IOSCO (in PDF)
2004-May-19	May Issue of SFC Enforcement Reporter Published (in PDF)
2004-May-18	IOSCO Statement on Action Plan Against Financial Fraud, Code of Conduct for Credit Rating Agencies, and Principles on Client Identification and Beneficial Ownership (in PDF)
2004-May-18	Man Jailed for Defrauding SFC (in PDF)
2004-May-14	SFC Welcomes Process Review Panel Report (in PDF)
2004-May-13	SFC Resolves Dispute with Raphael Blot on Basis of Payment Without Admission of Liability (in PDF)
2004-May-12	SFC Publishes Annual Report 2003 - 2004 and Third Edition of an English-Chinese Financial Glossary (in PDF)
2004-May-12	SFC Successfully Prosecutes Wong Chi Cheong for Misleading the SFC (in PDF)
2004-May-10	SFC Prosecutes CSF Consultancy Limited and Chan Wing Chuen Freeman for Breaches of the Securities Ordinance and Protection of Investors Ordinance (in PDF)
2004-May-7	SFC Suspends Ng Kei Choy, Stephen and Reprimands Sun Growth Securities Limited for Failure to Report Illegal Activities of Their Staff and Other Failings (in PDF)
2004-May-4	Investigations into Share Placements (in PDF)
2004-April-30	SFC Publishes Revised Guidance Note on Position Limits and Large Open Position Reporting Requirements (in PDF)
2004-April-29	Mandatory Conditional Cash Offer for China Everbright Technology Limited by Quam Securities Company Limited on behalf of Sincere View International Limited - Disclosure of Dealings in the Relevant Securities of China Everbright Technology Limited (in PDF)
2004-April-28	China Life Insurance Company Limited (in PDF)
2004-April-23	Investors Receive Smart Investor Awards (in PDF)
2004-April-22	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)
2004-April-21	SFC Takes Action Against Hawking of Futures Contracts (in PDF)
2004-April-21	SFC Reprimands Lau Yim Ling, Elaine for Impropriety (in PDF)
2004-April-21	SFC Reprimands Tanrich Futures Ltd for Internal Control Failures (in PDF)
2004-April-19	SFC Publishes April Issue of SFC Alert (in PDF)
2004-April-14	April Issue of SFC Enforcement Reporter Published (in PDF)
2004-April-8	Report on Errors in Newspaper Announcements of Allotment Results of the Initial Public Offering of Shares in China Life Insurance Company Limited (in PDF)
2004-April-7	SFC Prosecutes Deng Chi Yuan for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-April-7	SFC Prosecutes Value Partners Limited for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-April-7	SFC Reprimands Prudence Securities Company Limited and Suspends or Wai Hung Kenneth for Internal Control Failings (in PDF)
2004-April-6	SFC Takes Action Against Unregistered Securities Margin Financing (in PDF)
2004-April-6	SFC Reprimands Core Pacific-Yamaichi International (HK) Limited for Losing Client Agreements (in PDF)
2004-April-2	SFC Successfully Prosecutes Pacific Pearl Securities Limited, Pacific Pearl Futures Limited and their Management, Cheng Kwok Cheung and Yung Ki Cheong Philip, for Defrauding the SFC and Failing to Notify the SFC of Liquid Capital Deficiencies (in PDF)
2004-April-1	Securities and Futures Ordinance - One Year On (in PDF)
2004-March-31	SFC Consults on Regulations to Address Analyst Conflicts of Interest (in PDF)
2004-March-30	SFC Successfully Prosecutes Lam Kwong Tim Spencer for Failing to Notify the SFC of Liquid Capital Deficiencies (in PDF)
2004-March-29	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-26	SFC Appoints Takeovers Panel and Takeovers Appeal Committee Members (in PDF)
2004-March-26	SFC Supports Roadmap for Listing Reform (in PDF)
2004-March-26	"What's Left for Self-Regulation" - A Presentation by Sir Howard Davies (in PDF)
2004-March-25	SFC Appoints Dual Filing Advisory Group Members (in PDF)
2004-March-25	SFC Welcomes Re-appointment of Market Representatives of SFC (HKEC Listing) Committee (in PDF)
2004-March-25	SFC Appoints Investor Education Advisory Committee (IEAC) Members (in PDF)
2004-March-24	Disclosure Regulation: The Role of Intermediaries - A Keynote Address by SFC Chairman (in PDF)
2004-March-24	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-23	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-22	SFC Suspends Cheng She Ching for Improper Conduct Relating to Handling of Client Accounts (in PDF)
2004-March-22	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-19	SFC Advises Analysts on Handling of Non-Public Price Sensitive Information (in PDF)
2004-March-18	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-18	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-17	SFC Takes Action against Hawking of Futures Contracts (in PDF)
2004-March-16	SFC Prosecutes Hong Kong Forex Investment Limited for Failing to Have Yu Wai Fong Licensed as a Representative Accredited to It (in PDF)
2004-March-16	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-15	SFC Prosecutes Yu Wai Fong for Unlicensed Leveraged Foreign Exchange Trading (in PDF)
2004-March-10	SFC Welcomes Budget Proposals (in PDF)
2004-March-9	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-9	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-9	March Issue of SFC Enforcement Report Published (in PDF)
2004-March-8	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-5	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-5	The Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2004 (in PDF)
2004-March-4	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-4	Enrolment Open for Investor Education Workshops for Teachers (in PDF)
2004-March-4	Fidelity Insurance Schemes for Exchange Participants (in PDF)
2004-March-3	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-3	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-3	SFC Prosecutes Hotung Enterprises Limited, Eric Edward Hotung and Ho Shu Wah for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2004-March-3	SFC Retail Investor Survey 2003 (in PDF)
2004-March-2	Securities and Futures Ordinance - Consultation Conclusions on the Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003 and Proposed Amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements (in PDF)
2004-March-2	IPO Subscription Refund Cheques (in PDF)
2004-March-2	SFC Appoints Academic and Accreditation Advisory Committee (AAAC) Members (in PDF)
2004-March-1	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-March-1	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-March-1	SFC Explains Working Group's Report at LegCo FA Panel (in PDF)
2004-March-1	SFC Presents 2004-2005 Budget at FA Panel (in PDF)
2004-February-27	SFC Prosecutes Lam Hon Wing for Unlicensed Leveraged Foreign Exchange Trading (in PDF)
2004-February-25	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-25	Dr Wise's Advice on IPO Investing (in PDF)
2004-February-24	SFC Submits Working Group's Report to the Financial Affairs Panel (in PDF)
2004-February-24	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-23	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-23	SFC Suspends Howel G R Thomas for Conducting Manipulative Orders and Misleading Client (in PDF)
2004-February-20	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-February-20	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-20	Excellent Co-Operation Between Mainland and Hong Kong Regulators (in PDF)
2004-February-19	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-19	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-February-19	SFC Quarterly Bulletin (in PDF)
2004-February-18	SFC Introduces Revamped SFC Alert (in PDF)
2004-February-18	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-February-18	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-17	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-16	SFC Reprimands Wee Teow Heng, Albert and Chiu Sin Ming, Jason (in PDF)
2004-February-16	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-13	SFC Chairman's Address to Conference on SEC Regulation (in PDF)
2004-February-13	SFC Releases the Third Quarterly Report for the Financial Year 2003-2004 (in PDF)
2004-February-13	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-February-12	Inquiries into Unusual Bids during Pre-Opening Sessions (in PDF)
2004-February-10	Man Jailed for Not Attending SFC Investigation Interviews (in PDF)
2004-February-10	February Issue of SFC Enforcement Reporter Published (in PDF)
2004-February-9	Ten Months in the New SFO Regime (in PDF)
2004-February-6	Measures to Enhance Regulation of the Brokerage Industry and Investor Protection (in PDF)
2004-February-6	SFC Reprimands Cheng Lit Ming for Breaching the Code of Conduct and His Employer's Internal Policies (in PDF)
2004-February-6	IOSCO Chairmen's Task Force on Securities Fraud and Market Abuse (in PDF)
2004-February-5	Report Financial Scams to Win Smart Investor Awards (in PDF)
2004-February-5	SFC Prosecutes Tong On Jimmy for Mishandling Clients' Securities (in PDF)
2004-February-4	SFC Successfully Prosecutes Chan Siu Tung for Acting as a Dealer's Representative whilst Unregistered (in PDF)
2004-January-29	A Pragmatic and Feasible Blueprint on Regulation of Listing (in PDF)
2004-January-28	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Saint Honore Holdings Limited (St. Honore) (in PDF)
2004-January-28	Voluntary Conditional Cash Offers by Well-Positioned Corporation Disclosure of Dealings in Relevant Securities of Hong Kong Catering Management Limited (HK Catering) (in PDF)
2004-January-28	SFC Suspends Anthony Yung for Failings in Supervising Branch Operations (in PDF)
2004-January-28	SFC Suspends Ko Ka Keung, Frank for Deceiving Employer in Account Opening (in PDF)
2004-January-27	SFC Prosecutes Tang Kin Lok, Eddie for Not Attending SFC Investigation Interviews (in PDF)
2004-January-27	SFC Year-End Review (in PDF)
2004-January-21	SFC Suspends Michael John Fawdry for Falsely and Misleadingly Holding Out an Unregistered Firm as Investment Adviser (in PDF)
2004-January-	SFC Prosecutes Cheuk Yik Cheung for Not Attending SFC Investigation Interviews (in PDF)
2004-January-16	Special Chinese New Year Supplement of Dr Wise's Column (in PDF)
2004-January-15	Update on Dual Filing (in PDF)
2004-January-14	January Issue of SFC Enforcement Reporter Published (in PDF)
2004-January-13	Cheung Wai Kei Prosecuted for Failure to Assist SFC Investigation (in PDF)
2004-January-13	SFC Reprimands Wong Ching Lau (in PDF)
2004-January-12	Person Who Aided and Abetted Unlicensed Leveraged Foreign Exchange Trading Sentenced to Community Service (in PDF)
2004-January-8	SFC Reprimands KGI Asia Limited for Lax Internal Controls (in PDF)
2004-January-7	IPO Subscription Refund Cheques (in PDF)
2004-January-5	SFC Reprimands Luk Kwok On for Improperly Applying for Excess Rights Issue Shares via His Relative's Account (in PDF)
2004-January-2	SFC Reprimands Gransing Securities Company Limited and Go Mau Ngai for Failures Relating to Unregistered Dealing Activities (in PDF)
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