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2005-December-29	SFC Prosecutes Tang Shui Fai for Market Manipulation (in PDF)
2005-December-29	SFC Prosecutes Wong Kam Yim for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-December-22	Proposed Privatisation of CCT Tech International Limited by Way of a Scheme of Arrangement (under Section 99 of Companies Act) - Disclosure of Dealings in the Relevant Securities of CCT Tech International Limited (in PDF)
2005-December-22	Joint Forum Releases Consultation Paper on High-Level Business Continuity Principles (in PDF)
2005-December-22	SFC Prosecutes Bava Ashraf Akathoottu for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-December-21	SFC Publishes December Issue of SFC Alert (in PDF)
2005-December-21	SFC Reprimands and Fines Shenyin Wanguo Securities (HK) Limited for Internal Control Inadequacies (in PDF)
2005-December-21	SFC Reprimands Soen Tak Securities Company Limited and Suspends Chan Chun Shing for Poor Internal Controls and Account Executive Supervision and for Misleading the SFC (in PDF)
2005-December-20	SFC Signs MoU with Insurance Authority (in PDF)
2005-December-20	Dr Wise on Disclosure of Interests (in PDF)
2005-December-20	SFC Settles Disciplinary Action with Yuen Kwok Wai in relation to Supervisory Failings (in PDF)
2005-December-19	December Issue of SFC Enforcement Reporter Published (in PDF)
2005-December-15	Notification of Interests in REITs (in PDF)
2005-December-15	SFC Suspends Ting Chung Man, Or Kam Kai and Lam Shing Wan for Breaches of the Code of Conduct (in PDF)
2005-December-15	SFC Reprimands Wong Kwong Sing for Trading Malpractices and Inadequate Audit Trail of Orders (in PDF)
2005-December-14	SFC Reprimands and Fines Hooray Securities Limited for Breaches of Anti-Money Laundering Guidelines, the Securities and Futures (Financial Resources) Rules and Code of Conduct and Lack of Internal Controls (in PDF)
2005-December-12	SFC Reprimands and Fines Luen Fat Securities Company Limited and Its Responsible Officer Wong Shue Yung Teresa for Internal Control Failings (in PDF)
2005-December-12	SFC Reprimands TMT Financial Services Limited for Supervisory Failures (in PDF)
2005-December-8	Vibrant and Healthy Development of the Hedge Funds Industry (in PDF)
2005-December-8	Policy Implications of the Evolving Role of Hedge Funds (in PDF)
2005-December-7	Smart Investors Rewarded by SFC (in PDF)
2005-December-7	SFC Suspends Lo Tai Wah for Breaching the Code of Conduct (in PDF)
2005-December-2	SFC Prosecutes Yam Wang Lap for Unlicensed Advising on Corporate Finance (in PDF)
2005-December-1	SFC Prosecutes Leung Wing for Making Unsolicited Calls (in PDF)
2005-December-1	Revised Notes 1 and 2 to Rule 8 of the Takeovers Code Becoming Effective from 1 January 2006 (in PDF)
2005-November-30	SFC Quarterly Bulletin (in PDF)
2005-November-30	Extension of Consultation Period Regarding Proposals on Possible Reforms to the Prospectus Regime (in PDF)
2005-November-29	Dr Wise on Change of Control of Listed Companies (in PDF)
2005-November-29	SFC Annual Report Wins HKICPA Award (in PDF)
2005-November-28	SFC Bans Wong Wing Fai Eric from Re-Entering the Industry for Conflicts of Interest (in PDF)
2005-November-25	SFC Launches Six-Point Plan for the Derivative Warrants Market (in PDF)
2005-November-22	New Initiative on Investor Education - "My Investment Story" Competition (in PDF)
2005-November-21	November Issue of SFC Enforcement Reporter Published (in PDF)
2005-November-21	Update on Dual Filing (in PDF)
2005-November-18	SFC Suspends Yan Chi Ping for Deceiving His Employer (in PDF)
2005-November-17	SFC Prosecutes Lam Wing Chit for Making Unsolicited Calls (in PDF)
2005-November-16	SFC Reprimands Young Champion Securities Limited for Breaching the Code of Conduct (in PDF)
2005-November-16	SFC Suspends Kung Chiu Nam Edmond for Providing Misleading Information to SFC and Lending His Account to Another Licensee for Personal Use (in PDF)
2005-November-15	SFC Criticises the Board of Directors of ITC Corporation Limited for Breaching Rule 21.3 of the Takeovers Code (in PDF)
2005-November-15	SFC Chairman's Address to Conference on SEC Regulation (in PDF)
2005-November-14	SFC Releases the Second Quarterly Report for the Financial Year 2005-2006 (in PDF)
2005-November-11	Publication of the Exemption Notice, Suspending Payment of the Investor Compensation Levies (in PDF)
2005-November-11	SFC Welcomes the Re-Appointment of the Hon Jasper Tsang and Mr Christopher Cheng as Non-Executive Directors (in PDF)
2005-November-10	SFC Prosecutes Raymond Dennis Neoh and Upflow Holdings Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-November-10	SFC Prosecutes Mak Wing Shun Agnes for Making Unsolicited Calls (in PDF)
2005-November-10	SFC Prosecutes Chow Kwok Chung Bruce and Universal Funds and Asset Management Inc. for Making Reckless or Fraudulent Misrepresentations and Unlicensed Asset Management (in PDF)
2005-November-10	SFC Reprimands Tsui Wing Kit for Breaching the Code of Conduct (in PDF)
2005-November-9	SFC Prosecutes Power Assets Enterprises Limited and Gouw Kar Yiu Carl and Gouw San Bo Elizabeth for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-November-8	SFC Reprimands and Fines Grand Investment (Futures) Limited for FRR Breaches (in PDF)
2005-November-3	SFC Prosecutes China Northern Enterprises Investment Fund Limited and Yau Chung Hong for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-November-3	SFC Prosecutes Chan Lai Keung for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-November-3	SFC and OUHK LiPACE Joint Press Release - Free Investor Education Seminars for the Public (in PDF)
2005-November-1	SFC Reprimands and Suspends Chow Kin Yuen for Breaches of the Code of Conduct and Internal Policies of His Ex-Employer (in PDF)
2005-October-31	SFC Suspends Wong Yuen Sze Angel for Unlicensed Dealing and Lo Po Wah Julie for Aiding and Abetting Unlicensed Dealing (in PDF)
2005-October-31	SFC Website Wins Web Care Award 2005 (in PDF)
2005-October-28	Investor Education Advice on Real Estate Investment Trusts (in PDF)
2005-October-28	SFC Chairman's Visit to Beijing (in PDF)
2005-October-27	Securities and Futures Appeals Tribunal Upholds the SFC's Decision to Suspend So Chi Ming (in PDF)
2005-October-27	Ngai Leung Wai Convicted of Misleading the SFC (in PDF)
2005-October-27	Best Practices on Selling, Compliance & the Implementation of the Securities and Futures Ordinance (in PDF)
2005-October-27	Consultation Conclusions on the Prevention of Money Laundering and Terrorist Financing Guidance Note (in PDF)
2005-October-25	SFC Reprimands and Fines Onshine Securities Limited for Failures Including FRR Breaches and Its Responsible Officer Chan Sum Fat for Internal Control Weaknesses and Insufficient Supervision of Staff (in PDF)
2005-October-25	Dr Wise on Financial Advisers and Investment Product Recommendations (in PDF)
2005-October-24	SFC Reprimands and Fines Bright Smart Securities International (HK) Limited and Chan Pang for Aiding and Abetting Unlicensed Dealing and Other Misconduct (in PDF)
2005-October-20	Building Investor Confidence in the Financial Planning Industry (in PDF)
2005-October-20	SFC Reprimands Lui Chi Chung Josaphat for Supervisory Failures (in PDF)
2005-October-19	October Issue of SFC Enforcement Reporter Published (in PDF)
2005-October-19	SFC Publishes October Issue of SFC Alert (in PDF)
2005-October-18	Stephen Lee Sing Wai Sentenced to Six-Month Imprisonment for Failure to Attend SFC Interview During His Three-year Suspension Period (in PDF)
2005-October-18	SFC Welcomes CEPA III Initiatives (in PDF)
2005-October-17	Annual Review of the Exchange's Performance of Its Regulation of Listing Matters (in PDF)
2005-October-13	SFC Prosecutes TingKong-RexCapital Holdings Limited, Rexcapital Partners Incorporated and Tees Corporation for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-October-12	IOSCO Consults on International Debt Disclosure Principles and Establishes Arrangements for Regulators to Share Information on IFRS (in PDF)
2005-October-7	SFC Prosecutes Stephen Lee Sing Wai for Not Attending SFC Investigation Interview (in PDF)
2005-October-7	SFC Reprimands TISCO Securities Hong Kong Limited and Suspends Lam Ho Chu Wilson and Yam Shun Hung for Breaching the Code of Conduct (in PDF)
2005-October-7	SFC Suspends Lau Pak Tong for Breaching the Know-Your-Client Rule (in PDF)
2005-October-6	SFC Prosecutes Chu Yat Lam for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-October-6	SFC Appoints Takeovers Panel and Takeovers Appeal Committee Members (in PDF)
2005-October-5	SFC Reprimands and Fines Lau Yin Mei Carmela for Short Selling and Other Misconduct (in PDF)
2005-October-4	More Collaboration with Local Universities on Investor Education (in PDF)
2005-October-3	Proposed Privatisation of SUNDAY Communications Limited by PCCW Mobile Holding No. 2 Limited by Way of a Scheme of Arrangement (under Section 86 of the Companies Law) and at the Cancellation Price of HK$0.65 Per Scheme Share - Disclosure of Dealings in the Shares of SUNDAY Communications Limited (in PDF)
2005-October-3	SFC Reprimands Lippo Securities Limited and Suspends Han Sze Chao Richard, Chan Ka Lok Cuthbert and Yeung Angie (in PDF)
2005-October-3	SFC Chairman's Remarks at a Meet-the-Media Session (in PDF)
2005-October-3	Investor Education Advice in Your Pocket (in PDF)
2005-September-30	Gazettal of the Revised Hedge Fund Guidelines (in PDF)
2005-September-30	SFC Welcomes Appointment of Mr Martin Wheatley and Pays Tribute to Mr Andrew Sheng (in PDF)
2005-September-29	SFC Reprimands Cheung Ngai Yi Charlotte for Breaching the Code of Conduct and the Internal Policy of Her Ex-Employer (in PDF)
2005-September-29	SFC Prosecutes Chow Wai Ho for Making Unsolicited Calls (in PDF)
2005-September-29	Kong Kwok Yee Convicted of Misleading the SFC (in PDF)
2005-September-28	SFC Public Perception Survey - Majority of Public Understand the SFC's Responsibilities (in PDF)
2005-September-28	SFC Suspends Chan Chuen Leung for Improper Trading Activities (in PDF)
2005-September-27	Opening Address by Mrs Alexa Lam at the 8th Annual Hedge Funds World Asia (in PDF)
2005-September-27	Speech by Mr Martin Wheatley: An International View of the Securities and Futures Markets (in PDF)
2005-September-27	Dr Wise on Derivative Warrants (in PDF)
2005-September-27	SFC Chairman's Speech: The Convergence of Global Regulation (in PDF)
2005-September-27	Amendment to Section 11.3 of the Introduction to the Hong Kong Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2005-September-26	Consultation Conclusions on Consultation Paper on the Review of Hedge Fund Guidelines (in PDF)
2005-September-24	SFC Chairman's Hong Kong Letter (in PDF)
2005-September-22	SFC Prosecutes Ming Tak Sang for Unlicensed Asset Management (in PDF)
2005-September-22	SFC Prosecutes Ng Kit Fai Paris for Unlicensed Securities Dealing (in PDF)
2005-September-22	SFC Prosecutes Kwan Sok Un Samantha for Unlicensed Investment Advising (in PDF)
2005-September-21	Consultation Conclusions on Proposed Amendments to Schedule 5 to the Securities and Futures Ordinance (in PDF)
2005-September-20	SFC Suspends Lau Yat Wah for Breaching the Code of Conduct and Anti-Money Laundering Guidance Notes (in PDF)
2005-September-16	September Issue of SFC Enforcement Reporter Published (in PDF)
2005-September-16	Gazettal of the Revised Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2005-September-15	Public Statement on Mr Leung Wai Shing (in PDF)
2005-September-14	SFC Reprimands and Fines Chau Sau Lai Betty for Breaching the Code of Conduct (in PDF)
2005-September-14	SFC Reprimands Henyep Securities Limited, Chiu Sin Wan Simon and Ng Yiu Man for Internal Control Failures with Chiu Making a Voluntary Payment (in PDF)
2005-September-13	SFC Chairman's Statement at a Sharing Session with the Media (in PDF)
2005-September-13	Regulatory Co-Operation with Jersey Financial Services Commission (in PDF)
2005-September-8	SFC Actions on Derivative Warrants (in PDF)
2005-September-8	SFC Prosecutes Lam Kwok Fai for Acting as an Investment Representative Whilst Unregistered (in PDF)
2005-September-8	SFC Reprimands and Fines Guotai Junan Securities (Hong Kong) Limited for Breaches of the Financial Resources Rules and the Client Money Rules and Other Internal Control Failures (in PDF)
2005-September-7	SFC Reprimands and Fines Ng Yan Ngai (in PDF)
2005-September-7	SFC Reprimands and Fines Yu Hing Fai for Short Selling (in PDF)
2005-September-7	SFC Reprimands and Fines Chan Yu Man for Short Selling (in PDF)
2005-September-2	31st IOSCO Annual Conference Open for Registration (in PDF)
2005-September-1	SFC Prosecutes Mok Sze Wan for Unlicensed Leveraged Foreign Exchange Trading (in PDF)
2005-September-1	SFC Reprimands and Fines Cheung's Securities Brokers Limited for Internal Control Failures and Suspends Lun Han Yuk for Breaching the Client Money Rules (in PDF)
2005-August-31	Further Enhancements to the Electronic Investor Resources Centre (in PDF)
2005-August-31	SFC Appoints Members of the Committee on Real Estate Investment Trusts (in PDF)
2005-August-31	SFC Quarterly Bulletin (in PDF)
2005-August-30	Dr Wise on Lending Securities Trading Accounts (in PDF)
2005-August-29	Consultation Paper on Possible Reforms to the Prospectus Regime (in PDF)
2005-August-26	Update on Dual Filing (in PDF)
2005-August-26	SFC Settles Disciplinary Action with Mak Wai Kwong (in PDF)
2005-August-26	SFC Settles Disciplinary Action with Ip Hon Man (in PDF)
2005-August-25	SFC Prosecutes Wong Tin Sang and Bioleader Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-August-25	SFC Prosecutes Pang Yin Har for Unlicensed Investment Advising (in PDF)
2005-August-22	SFC Chairman's Speech on State-Owned Enterprises Reform and Governance (in PDF)
2005-August-22	Consultation Conclusions on a Review of the Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2005-August-22	SFC Settles Its Disciplinary Action with Sinomax Securities Limited and Luk Kam (in PDF)
2005-August-22	SFC Suspends Suen Chi Keung for Short Selling (in PDF)
2005-August-22	SFC Fines and Reprimands Master Trademore Securities Limited and Lo Lim Ester (in PDF)
2005-August-18	SFC Publishes August Issue of SFC Alert (in PDF)
2005-August-16	August Issue of SFC Enforcement Reporter Published (in PDF)
2005-August-16	SFC Suspends Tang Chi Wai Edwin for Breaches of the Code of Conduct and the Compliance Manual of His Ex-Employer (in PDF)
2005-August-12	A Busy First Quarter for the Financial Year 2005-2006 (in PDF)
2005-August-5	Further Enhancements of SFC Website (in PDF)
2005-August-4	SFC Prosecutes Wang Li Hua for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-August-3	SFC Reprimands Vivien Wong Webb for Short Selling and Other Failings (in PDF)
2005-August-2	SFC Chairman's Speech at Hong Kong Stockbrokers Association Luncheon (in PDF)
2005-July-30	SFC Chairman's Speech on Free Markets and Property Rights Infrastructure (in PDF)
2005-July-28	SFC Prosecutes Chan Man Kit and Cheng Chun Fai for Making Unsolicited Calls (in PDF)
2005-July-27	Fund Management Activities Survey 2004 (in PDF)
2005-July-26	Dr Wise on Structured Notes (in PDF)
2005-July-20	SFC Reprimands and Fines China Southern Securities (Hong Kong) Limited and Cheung Tung Woon for FRR Breaches (in PDF)
2005-July-19	The Application of Basel II to Trading-Related Activities and the Treatment of Double Default Effects (in PDF)
2005-July-15	Regulatory Co-Operation with the Securities Commission, Malaysia (in PDF)
2005-July-15	SFC Suspends Lok Siu Kee for Failure to Inquire into Suspicious Trades (in PDF)
2005-July-14	July Issue of SFC Enforcement Reporter Published (in PDF)
2005-July-13	SFC Suspends Chan Wing Yuen for Supervisory Failures (in PDF)
2005-July-11	SFC Extends the Suspension of See Ting Hing Mary for Improper Trading Activities via Clients' Accounts (in PDF)
2005-July-8	SFC Prosecutes Brilliant Path Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-July-7	SFC Prosecutes Ng Yuk Chan Michael for Unlicensed Investment Advising (in PDF)
2005-July-5	SFC Chairman's Remarks at LegCo Bills Committee (in PDF)
2005-July-5	SFC Chairman's Speech at a Seminar on Moral Capital & Business Leadership (in PDF)
2005-July-4	Court Gives Lam Chee Wing Alan Prison Terms for Market Manipulation (in PDF)
2005-July-4	SFC Suspends Andrew Nicholas Barber for Unsuitable Investment Advice (in PDF)
2005-July-4	SFC Settles with Allianz Global Investors Hong Kong Limited over Allegations of Breaches of the Fund Manager Code of Conduct and the Code on Unit Trusts and Mutual Funds (in PDF)
2005-June-30	SFC Prosecutes Lin Ko Ming for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-June-30	SFC Successfully Prosecutes Ha But Yee for Short Selling (in PDF)
2005-June-30	Process Review Panel Report (in PDF)
2005-June-30	Public Shareholders Group (in PDF)
2005-June-30	SFC Prosecutes Wong Yuen Sze Angel for Unlicensed Dealing and Lo Po Wah Julie for Aiding and Abetting (in PDF)
2005-June-29	SFC Consults on Specific Regulatory Requirements on Sponsors (in PDF)
2005-June-28	SFC Fines and Reprimands Man Hon Yeung Securities Limited and Reprimands Man Hon Yeung for Breaching the Financial Resources Rules (in PDF)
2005-June-28	Dr Wise on Leveraged Forex Trading (in PDF)
2005-June-27	SFC Reprimands and Fines Mansion House Securities (F.E.) Limited for FRR Breaches (in PDF)
2005-June-24	Proposed Privatisation of Hutchison Global Communications Holdings Limited (HGC) by Hutchison Telecommunications International Limited (HTIL) by Way of a Scheme of Arrangement - Disclosure of Dealing in the Shares in HTIL (in PDF)
2005-June-23	Bernard Simpson Consultants (in PDF)
2005-June-23	SFC Suspends Lee Sai Wah Daniel for Providing Misleading Information to the SFC (in PDF)
2005-June-21	SFC Publishes June Issue of SFC Alert (in PDF)
2005-June-17	SFC Prosecutes Lam Chee Wing Alan for Market Manipulation (in PDF)
2005-June-16	SFC Chairman's Speech at Bond Congress (in PDF)
2005-June-16	Consultation Conclusions on Draft Practice Note on Overseas Investments by SFC-Authorised Real Estate Investment Trusts (REITs) (in PDF)
2005-June-10	June Issue of SFC Enforcement Reporter Published (in PDF)
2005-June-9	SFC Prosecutes Excalibur Futures Limited and Chan Cheung Wah Linus for Failing to Notify the SFC of Its Liquid Capital Deficiencies (in PDF)
2005-June-3	Regulatory Co-operation with the Financial Services Commission of Guernsey (in PDF)
2005-June-2	SFC Prosecutes Brodick Capital Limited and Lam Chi Yin, Henry for Unlicensed Advising on Corporate Finance (in PDF)
2005-May-31	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Securities of Stockmartnet Holdings Ltd (in PDF)
2005-May-31	Dr Wise on Fund Investing (in PDF)
2005-May-31	Consultation Conclusions on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance (SFO) (in PDF)
2005-May-30	SFC Welcomes Appointment of Mr Martin Wheatley as Executive Director (in PDF)
2005-May-30	SFC Welcomes Appointments and Re-appointments of Advisory Committee Members (in PDF)
2005-May-30	SFC Quarterly Bulletin (in PDF)
2005-May-26	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Shares of Stockmartnet Holdings Ltd (in PDF)
2005-May-26	Regulatory Co-Operation with the Securities and Exchange Board of India (in PDF)
2005-May-26	Consultation on a Review of Hedge Funds Guidelines (in PDF)
2005-May-26	SFC Prosecutes Mo Shikang and Rhythorth Limited for Disclosure of Interests Offences (in PDF)
2005-May-25	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Shares of Stockmartnet Holdings Ltd (in PDF)
2005-May-23	SFC Welcomes Re-Appointment of Dr York Liao as Non-Executive Director (in PDF)
2005-May-20	May Issue of SFC Enforcement Reporter Published (in PDF)
2005-May-19	Legco Bills Committee on Securities and Futures (Amendment) Bill 2005 (in PDF)
2005-May-19	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Shares of Stockmartnet Holdings Ltd (in PDF)
2005-May-18	Sentencing of Zou Yishang for Market Manipulation (in PDF)
2005-May-18	Teachers Invited to Investor Education Workshops (in PDF)
2005-May-13	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Shares of Stockmartnet Holdings Ltd (in PDF)
2005-May-13	SFC Exchanges Side Letters with Monetary Authority of Macau under Existing MOU (in PDF)
2005-May-13	Mandatory Unconditional Cash Offers by Sun Hung Kai International Limited on behalf of Asia Network Holdings Limited - Disclosure of Dealings in the Shares of Stockmartnet Holdings Ltd (in PDF)
2005-May-12	SFC Publishes Annual Report 2004-2005 (in PDF)
2005-May-6	Mandatory Cash Offer for MediaNation Inc by JCDecaux Pearl & Dean Limited (in PDF)
2005-May-6	SFC Briefs LegCo FA Panel on the Review of the Disclosure of Interests Regime (in PDF)
2005-May-5	SFC Prosecutes Ng Ka Man for Unlicensed Dealing and Chan Pang for Aiding and Abetting (in PDF)
2005-May-5	SFC Prosecutes Lee Eng Chhong for Disclosure of Interests Offences (in PDF)
2005-May-5	SFC Signs Statement of Intent with the Financial Services Agency of Japan (in PDF)
2005-April-29	Consultation on Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note (in PDF)
2005-April-28	SFC Suspends Wong Kwok Fan Rico for Account Opening Failings and Aiding and Abetting Unlicensed Dealing (in PDF)
2005-April-27	SFC Publishes April Issue of SFC Alert (in PDF)
2005-April-26	Development of XBRL in Hong Kong (in PDF)
2005-April-26	Dr Wise on Online Investing (in PDF)
2005-April-25	SFC Settles Disciplinary Action with Gain Asset Management Limited (in PDF)
2005-April-22	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by Way of Merger by Absorption (in PDF)
2005-April-22	Consultation Conclusions on Proposal to Allow Investments in REITs by Collective Investment Schemes Authorised under the Code on Unit Trusts and Mutual Funds (in PDF)
2005-April-20	"The Star Analysts' Fans Family" - Investor Education on Analyst Conflicts of Interest (in PDF)
2005-April-20	April Issue of SFC Enforcement Reporter Published (in PDF)
2005-April-19	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-April-19	Update on Dual Filing (in PDF)
2005-April-18	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-April-18	SFC Settles Disciplinary Action with Berich Brokerage Limited, Chung Tin Ming, Sun Tak Sing and Luk King Cheong (in PDF)
2005-April-15	Chan Kim Wing Convicted of Not Attending SFC Investigation Interviews (in PDF)
2005-April-15	SFC Reprimands Halsburg Asset Management Ltd and Suspends Hui Chiu Kit, Eddie for Misconduct in Selling Funds (in PDF)
2005-April-14	SFC Prosecutes Lee Fung Hong (Cheung's) Forex Dealers Limited and Luk Hon Sum Peter for Disclosure of Interests Offences (in PDF)
2005-April-11	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-April-11	SFC Prosecutes Zou Yishang for Market Manipulation (in PDF)
2005-April-11	SFC Reprimands and Fines Instinet Pacific Limited for Breaches of Client Identity Rule Policy and an Undertaking to the SFC (in PDF)
2005-April-8	The Court of First Instance Delivered Its Judgment on the Appeals by Tsang Wai Lin (in PDF)
2005-April-7	IOSCO Annual Conference Final Communique (in PDF)
2005-April-6	Possible Mandatory Cash Offer for MediaNation Inc by JCDecaux Pearl & Dean Limited (in PDF)
2005-April-6	SFC Chairman's Speech at IOSCO Annual Conference Opening Ceremony (in PDF)
2005-April-6	Regulatory Co-operation with the Securities and Exchange Commission of Sri Lanka (in PDF)
2005-April-1	Fidelity Insurance for Exchange Participants (in PDF)
2005-April-1	SFC Reprimands and Fines Cheung Chun, Matthew for Assisting an Unlicensed Person to Conduct Regulated Activities (in PDF)
2005-April-1	SFC's Note on Regulation of Listing to LegCo's Panel on Financial Affairs (in PDF)
2005-March-31	SFC Prosecutes Victory Securities Company Limited and Kou Kuen Katerine for Mishandling Clients' Securities (in PDF)
2005-March-31	SFC Prosecutes Montgomery Properties Holding Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-March-31	SFC/SEHK Joint Press Release - Outline of the Current Roles of the Exchange and the SFC in Listing Regulation (in PDF)
2005-March-31	Update on Migration to the Securities and Futures Ordinance - End of Transitional Period (in PDF)
2005-March-31	Consultation Conclusions on the Review of the Investor Compensation Fund (in PDF)
2005-March-31	Mr Mark Dickens (in PDF)
2005-March-31	Guidelines to Address Analyst Conflicts of Interest to Come into Effect (in PDF)
2005-March-31	SFC Appoints Takeovers Panel and Takeovers Appeal Committee Members (in PDF)
2005-March-31	SFC Re-appoints Market Representatives and Appoints SFC Representative on the SFC (HKEC Listing) Committee (in PDF)
2005-March-31	SFC Re-appoints, and Extends the Membership Term of, Dual Filing Advisory Group Members (in PDF)
2005-March-30	SFC Consults the Public on Proposed Relaxation of the Geographical Restriction on Overseas Investments by SFC-authorised REITs and Associated Issues (in PDF)
2005-March-29	Extracts and Advertisements Concerning Prospectuses under the Companies Ordinance (in PDF)
2005-March-29	Dr Wise on Locking Leveraged Foreign Exchange Trading Positions (in PDF)
2005-March-29	SFC Suspends Yeung Hok Huen, Runter for Conducting Unlicensed Regulated Activities (in PDF)
2005-March-29	SFC Suspends Lo Chiu Wai for Conflicts of Interest and Unsound Advice (in PDF)
2005-March-24	SFC Prosecutes China Conservational Power Holdings Limited for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF)
2005-March-24	The Court of First Instance Delivered Its Judgment on the Appeals by William Mong Man Wai (in PDF)
2005-March-24	SFC Suspends Ho Kwan Kit for Accepting Suspicious Orders (in PDF)
2005-March-23	SFC Appoints Investor Education Advisory Committee Members (in PDF)
2005-March-23	SFC Fines and Reprimands Cheng Hok Wai, and Reprimands Evergreen Securities Limited and Cheng Ho Yan Erik for Repeated Breaches of the Financial Resources Rules (in PDF)
2005-March-23	SFC Reprimands and Fines Guangdong Securities Limited and Reprimands Yang Jian for FRR Breaches (in PDF)
2005-March-22	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-March-22	SFC Launches Frequently Asked Questions (FAQs) about UCITS III for Investors (in PDF)
2005-March-22	SFC Reprimands and Fines Wong Yu Chiu for Improper Conduct Relating to Handling of Clients' Accounts (in PDF)
2005-March-18	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-March-18	Amendment to Section 11.3 of the Introduction to the Hong Kong Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2005-March-18	SFC Suspends Lui Yee Ying, Candy for Facilitating Suspicious Trading (in PDF)
2005-March-17	SFC Has Authorised 353 UCITS III Funds in Hong Kong (in PDF)
2005-March-16	SFC Welcomes Budget Proposals (in PDF)
2005-March-16	SFC Reprimands and Fines Ng Mau Chung for Poor Standards and Short Selling (in PDF)
2005-March-14	Proposed Privatisation of Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) by China Petroleum & Chemical Corporation by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Yanhua (in PDF)
2005-March-14	Wan Wai Chi Katherine Sentenced for Aiding and Abetting Market Manipulation (in PDF)
2005-March-11	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-March-11	March Issue of SFC Enforcement Reporter Published (in PDF)
2005-March-10	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-March-10	SFC Prosecutes Linefan Technology Holdings Limited for Failing to Keep a Register of Interests in Shares (in PDF)
2005-March-10	SFC Prosecutes MCC Capital Consulting Limited for Unlicensed Advising on Corporate Finance (in PDF)
2005-March-10	SFC Prosecutes Fung Wing Kwong for Short Selling (in PDF)
2005-March-9	SFC Suspends Tong Lee Mei Wah Lolitta for Four Months (in PDF)
2005-March-8	Proposals to Strengthen the Enforcement of Listing Requirements (in PDF)
2005-March-7	SFC Suspends Weng Yi Jiong for Failings Relating to Operation of a Client Account by a Third Party (in PDF)
2005-March-7	SFC Budget 2005/2006 (in PDF)
2005-March-3	SFC Prosecutes Leung Kin Keung and Lee Wing Ngai for Disclosure of Interests Offences (in PDF)
2005-March-3	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-March-2	HKEx Publishes Online Fact Book for 2004 (in PDF)
2005-March-2	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-March-2	SFC Disciplines Daiwa Securities SMBC Hong Kong Limited and Koji Yoshihara for Breaching the Pricing Limits under the Securities and Futures (Price Stabilizing) Rules (in PDF)
2005-March-2	IOSCO Action Plan to Strengthen Capital Markets Against Financial Fraud (in PDF)
2005-March-2	SFC Investor Survey on Sponsors (in PDF)
2005-March-1	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-March-1	IOSCO and Other Organisations Announce Public Interest Oversight Board for International Accountancy Profession (in PDF)
2005-March-1	Update for Investors - Intermediaries Yet to Lodge Migration Applications (in PDF)
2005-March-1	So Wai Yin Irene Surrenders Licence to SFC for Five Years for Serious Conflict of Interest (in PDF)
2005-February-28	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-February-28	SFC Appoints Academic and Accreditation Advisory Committee Members (in PDF)
2005-February-28	SFC Quarterly Bulletin (in PDF)
2005-February-28	SFC Settles Concerns about Late Trading by Two Hedge Funds in First State Global Umbrella Fund PLC (in PDF)
2005-February-25	SFC Welcomes Re-appointment of Mrs Alexa Lam as Executive Director (in PDF)
2005-February-25	SFC Consults the Public on Proposal on Investments in Real Estate Investment Trusts by Schemes Authorised under the Code on Unit Trusts and Mutual Funds (in PDF)
2005-February-24	SFC Prosecutes Wan Wai Chi, Katherine for Aiding and Abetting Market Manipulation (in PDF)
2005-February-24	SFC Prosecutes Modern World Resources Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2005-February-24	The Obligations and Duties of Investment Advisors Licensed by the SFC (in PDF)
2005-February-24	SFC Chairman's Speeches at the 2005 IOSCO Emerging Markets Regional Training Seminar (in PDF)
2005-February-23	Consultation on Proposed Amendments to Schedule 5 to the Securities and Futures Ordinance (in PDF)
2005-February-23	Report on Selling Practices of Licensed Investment Advisers (in PDF)
2005-February-23	SFC Appoints Takeovers Appeal Committee - Chairman and Deputy Chairman (in PDF)
2005-February-22	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-February-22	Dr Wise on Signing Investment Documents (in PDF)
2005-February-21	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption (the Merger) - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-February-21	SFC Publishes February Issue of SFC Alert (in PDF)
2005-February-17	SFC's Disciplinary Action against Yu Kim Ho Douglas (in PDF)
2005-February-16	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-February-16	IOSCO Principles on Outsourcing of Financial Services for Market Intermediaries (in PDF)
2005-February-16	SFC Suspends See Ting Hing Mary for Conducting Personal Trades Via Clients' Accounts and for Misallocating an Order of a Client (in PDF)
2005-February-15	February Issue of SFC Enforcement Reporter Published (in PDF)
2005-February-14	SFC Releases the Third Quarterly Report for the Financial Year 2004-2005 (in PDF)
2005-February-4	IOSCO Initiative on Cross-Border Co-operation (in PDF)
2005-February-3	SFC Prosecutes Delta Asia Securities Limited for Issuing Application Forms for Shares in a Company without a Prospectus (in PDF)
2005-February-3	SFC Prosecutes He Zhao Danny for Misleading the SFC (in PDF)
2005-February-3	SFC Prosecutes Yuen Pak Kan for Misleading the SFC (in PDF)
2005-February-2	Licensing of Hedge Fund Managers (in PDF)
2005-February-1	SFC Suspends Leung Pui Kin for Assisting a Dishonest Colleague (in PDF)
2005-February-1	"All about Stock Investing" VCDs Available Now (in PDF)
2005-February-1	SFC Facilitates UCITS III Funds Transition (in PDF)
2005-January-31	Possible Increase by Heineken-APB (China) Pte Limited of Its Shareholding Interest in Kingway Brewery Holdings Limited - Disclosure of Dealings in the Relevant Securities of Kingway Brewery Holdings Limited (in PDF)
2005-January-31	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-January-31	SFC Suspends Lau Yin Ying Bonnie for Facilitating Unlicensed Dealing Activities (in PDF)
2005-January-28	SFC Revokes the Licence of Lau Hing Hung Joie and Bans Him for 10 Years (in PDF)
2005-January-27	ICEAC Pays HK$30 Million to Settle SFC Disciplinary Case (in PDF)
2005-January-27	SFC Reprimands Asia Insurance (Pensions Fund) Limited and Suspends Wong Kok Ho for Four Weeks for Breaches of Investment Restrictions by Bank Consortium Pooled Retirement Scheme (in PDF)
2005-January-27	SFC Reprimands Bank Consortium Trust Company Limited for Breaches of Investment Restrictions of an ORSO Scheme, Bank Consortium Pooled Retirement Scheme (in PDF)
2005-January-27	SFC Suspends Chan Yuk Fu for Improper Trading Activities and Breaches of Staff Trading Policy (in PDF)
2005-January-25	SFC Review of 2004 (in PDF)
2005-January-25	Dr Wise on Sponsors (in PDF)
2005-January-24	January Issue of SFC Enforcement Reporter Published (in PDF)
2005-January-21	Final Call for Migration to the New Licensing Regime under the Securities and Futures Ordinance (in PDF)
21 January 2005	Know What You Pay for (in PDF)
2005-January-20	SFC Consults on the Review of the Disclosure of Interests Regime (in PDF)
2005-January-19	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by Way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-January-18	Voluntary Conditional Share Exchange Offer by DBS Asia Capital Limited on behalf of Upper Nice Assets Ltd., a Wholly-Owned Subsidiary of Shougang Concord Grand (Group) Limited, to Acquire All the Issued Shares of, and a Voluntary Cash Offer to Cancel All the Outstanding Options of, Global Digital Creations Holdings Limited (Global Digital) - Disclosure of Dealings in Certain Equity Derivatives in respect of Shares in Global Digital (in PDF)
2005-January-14	Proposed Privatisation of Beijing Yanhua by Sinopec Corp by way of Merger by Absorption - Disclosure of Dealings in Relevant Securities in Sinopec Beijing Yanhua Petrochemical Company Limited (Yanhua) (in PDF)
2005-January-14	Extension of Consultation Period Regarding the Consultation Paper on a Review of the Codes on Takeovers and Mergers and Share Repurchases (in PDF)
2005-January-13	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)
2005-January-13	Voluntary Conditional Share Exchange Offer by DBS Asia Capital Limited on behalf of Upper Nice Assets Ltd., a Wholly-Owned Subsidiary of Shougang Concord Grand (Group) Limited, to Acquire All the Issued Shares of, and a Voluntary Cash Offer to Cancel All the Outstanding Options of, Global Digital Creations Holdings Limited (Global Digital) - Disclosure of Dealings in Certain Equity Derivatives in respect of Shares in Global Digital (in PDF)