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2006-December-30	New Sponsor Regime Starts Soon (in PDF)
2006-December-28	SFC Suspends Yang Chih Chen (in PDF)
2006-December-28	Update on Dual Filing (in PDF)
2006-December-27	SFC Fully Implements Five-Day Week (in PDF)
2006-December-22	December Issue of SFC Enforcement - those Who Steal Client Assets Face Life Ban (in PDF)
2006-December-22	SFC Welcomes Appointment of Mr Shengman Zhang and Re-appointment of Mr Kenneth Kwok and Professor Liu Pak-wai as Non-Executive Directors (in PDF)
2006-December-22	January Designated Investor Education Month (in PDF)
2006-December-21	SFC Prosecutes Centaline (China) Property Consultants Ltd, Dalian Victory Plaza Development Company Ltd and Lee King Fung for Issuing Unauthorised Advertisements (in PDF)
2006-December-21	SFC Prosecutes Ling Man Siu for Unlicensed Leveraged Forex Dealing (in PDF)
2006-December-20	SFC Prohibits Law Wing Sang, Vincent from Re-entering the Industry (in PDF)
2006-December-19	Bankruptcy Order Against Ng Yat Chi, SFC Recovers Indemnity Costs from Choy Bing Wing (in PDF)
2006-December-19	Dr Wise on Risk Management (in PDF)
2006-December-15	New Sponsor Regime to Herald in Higher Standards (in PDF)
2006-December-14	SFC Prosecutes Metro Capital Finance Limited and Vong Kuoc Meng for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-December-13	SFC Suspends Stephane Hug (in PDF)
2006-December-7	More Frequent Disclosure of Trading Performance Encouraged (in PDF)
2006-December-6	SFC Reprimands and Fines Wong Tung Ching $210,000 (in PDF)
2006-December-5	SFC Prosecutes Wall Street Global (Hong Kong) Limited, Todd Gilmer Everts and Alan John Norman for Unlicensed Securities Dealing (in PDF)
2006-December-1	SFC Prosecutes Amanda Elizabeth Bottomley for Unlicensed Advising on Securities (in PDF)
2006-December-1	Restriction Notice Varied to Enable Orderly Return of Assetsto Whole Win Securities Limited Clients (in PDF)
2006-November-30	SFC Chairman Visits Beijing (in PDF)
2006-November-29	Press Release from Former Administrator of Whole Win Securities Limited (in PDF)
2006-November-28	SFC Annual Report Wins HKICPA Award (in PDF)
2006-November-28	Investors Lack Understanding of Structured Products (in PDF)
2006-November-28	Dr Wise on Retail Structured Notes (in PDF)
2006-November-24	Investors Warned of New Online Fraud (in PDF)
2006-November-22	Bankruptcy Order Against Lau Hing Hung, Joie (in PDF)
2006-November-22	SFC Suspends Ip Pui Lan (in PDF)
2006-November-20	Reducing the Risks of Investment Products Mis-selling (in PDF)
2006-November-7	November Issue of SFC Enforcement Reporter Published (in PDF)
2006-November-17	SFC Bans Wong Wei Yin Peter for Life (in PDF)
2006-November-16	SFC Suspends Chan Chun Wai (in PDF)
2006-November-16	SFC Suspends Wong Sung Bun (in PDF)
2006-November-16	SFC Suspends Leung Wai Hung, Denny (in PDF)
2006-November-16	SFC Suspends Li Chi On (in PDF)
2006-November-14	Second Quarterly Report for the Financial Year 2006-2007 (in PDF)
2006-November-13	SFC Bans Leung Moon Tong and Ma Ching Ning Rick for Life (in PDF)
2006-November-9	SFC Prosecutes Chow Lai Yin for Cold Calling and Aiding and Abetting Unlicensed Activities (in PDF)
2006-November-9	SFC Bans Fung Kit Ching Bandie for Life (in PDF)
2006-November-9	SFC Bans Ching Chun Kuen for Life (in PDF)
2006-November-8	SFC Reprimands and Fines Ng Hung Kan $44,000 (in PDF)
2006-November-7	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-November-7	SFC Welcomes Agreement on Whole Win Securities Limited (in PDF)
2006-November-3	SFC Publishes Latest Issue of SFC Alert (in PDF)
2006-November-3	SFC Prosecutes Li Kwok Keung Asser for Misleading the SFC (in PDF)
2006-November-3	SFC Suspends Chan Man Kit and Cheng Chun Fai (in PDF)
2006-November-1	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-October-31	Dr Wise on Independent Non-Executive Directors (in PDF)
2006-October-24	October Issue of SFC Enforcement Reporter Published (in PDF)
2006-October-20	SFC Chairman's Remarks at a Meet-the-Media Session (in PDF)
2006-October-18	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-October-18	Survey Confirms Growth of Hong Kong's Hedge Fund Market (in PDF)
2006-October-18	SFC Bans Charles Lee Schmitt for Life for Misappropriating Client Assets and False Accounting (in PDF)
2006-October-17	SFC Welcomes New Chairman (in PDF)
2006-October-14	The Role of Independent Directors in Improving Corporate Governance (in PDF)
2006-October-12	SFC Suspends Tsoi Bun (in PDF)
2006-October-10	Good Risk Management Crucial to Market Stability (in PDF)
2006-October-10	SFC Reprimands Peace Town Forex Limited and Suspends its Responsible Officers (in PDF)
2006-October-5	New Regime for Sponsors (in PDF)
2006-October-4	Update on Dual Filing (in PDF)
2006-October-3	SFC Welcomes Appointment of Mr Paul Kennedy as Executive Director / Chief Operating Officer (in PDF)
2006-September-29	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-September-29	SFC Action Plan to Minimise Broker Fraud and Enhance Investor Protection (in PDF)
2006-September-28	SFC Prosecutes Sun's Finance Investment Limited and Ng Shiu Shing Sunny for Unlicensed Securities Margin Financing (in PDF)
2006-September-28	SFC Suspends Tau Ling Ling for Breaching the Code of Conduct and Her Employer's Internal Policy (in PDF)
2006-September-28	The Retail Structured Notes Market in Hong Kong amid a Rate Hike Cycle (in PDF)
2006-September-26	Dr Wise on Investor Participant Account and Stock Segregated Account (in PDF)
2006-September-25	SFC Reprimands and Fines Business Securities Limited and Business Futures Limited for Internal Control Failures, and Suspends Szeto Kin Chuen for Misconduct Including Concealing Discretionary Arrangement in a Client's Accounts from the SFC (in PDF)
2006-September-22	Consultation Conclusions on Possible Reforms to the Prospectus Regime (in PDF)
2006-September-21	September Issue of SFC Enforcement Reporter Published (in PDF)
2006-September-20	Investors Want Suitable Product Recommendations (in PDF)
2006-September-19	Towards an International REIT Market (in PDF)
2006-September-19	Consultation Conclusions on Guidelines on Marketing Materials for Listed Structured Products (in PDF)
2006-September-13	Court of Appeal Upholds SFAT Ruling Regarding the SFC's Decision to Suspend Andrew Nicholas Barber for Mis-Selling (in PDF)
2006-September-12	Keynote Speech by Mrs Alexa Lam at the 9th Annual Hedge Funds World Asia (in PDF)
2006-September-11	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-September-11	Proposed Privatisation of Wong's Kong King International (Holdings) Limited by Profit Ascent Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in the Shares of Wong's Kong King International (Holdings) Limited (in PDF)
2006-September-8	Court Continues Interim Mareva Injunction Against Mr Kwok Wood Yan and Ms Fong Shik Yee of Tiffit Securities and Orders Disclosure of Information by Mr Kwok (in PDF)
2006-September-8	SFC Investor Education Extended to All Universities (in PDF)
2006-September-7	SFC Prosecutes Ma Yuk Fat and Yuen Wai Chun for Short Selling (in PDF)
2006-September-7	Profitability of Brokers Increased in the First Half of 2006 (in PDF)
2006-September-5	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-September-5	Notice Inviting Claims in Respect of (i) Tiffit Securities (Hong Kong) Limited; (ii) Wing Yip Company Limited (in PDF)
2006-September-5	SFC Suspends Chan Kin Pong Kimball for Aiding and Abetting Unlicensed Activities (in PDF)
2006-September-5	Guidelines for Sponsors and Compliance Advisers (in PDF)
2006-September-4	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-September-1	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-September-1	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Giordano International Limited, Potential Offeree Company (in PDF)
2006-September-1	SFC Reprimands and Fines Tsoi Siu Ho for Breaching His Employer's Staff Dealing Policy and the Code of Conduct (in PDF)
2006-September-1	Securities and Futures Appeals Tribunal Upholds the SFC's Decision to Suspend Hung Hing Chuen (in PDF)
2006-August-31	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-31	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-31	SFC Prosecutes Chang Wing Yiu for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-August-31	SFC Appoints Members of the Committee on Real Estate Investment Trusts (in PDF)
2006-August-31	Hong Kong is the Most Competitive Financial Centre in Asia (in PDF)
2006-August-30	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-30	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-29	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-29	Court Issues Interim Mareva Injunction Against Mr Kwok Wood Yan and Ms Fong Shik Yee of Tiffit Securities (Hong Kong) Limited (in PDF)
2006-August-29	Dr Wise on Investor Compensation Fund (in PDF)
2006-August-28	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-25	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-25	SFC Welcomes Appointment of Executive Directors (in PDF)
2006-August-25	SFC Publishes August Issue of SFC Alert (in PDF)
2006-August-24	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-24	SFC Prosecutes Power Hero International Ltd. and Victoria Treasure International Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-August-23	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-23	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-23	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-22	August Issue of SFC Enforcement Reporter Published (in PDF)
2006-August-22	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-22	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-21	(1) Proposal to Constitute Egana Jewellery & Pearls Limited as a Wholly-Owned Subsidiary of EganaGoldpfeil (Holdings) Limited by Way of a Scheme of Arrangement Under Section 86 of the Companies Law of the Cayman Islands; (2) Proposed Privatisation and Withdrawal of Listing of Egana Jewellery & Pearls Limited - Disclosure of Dealings in the Securities of EganaGoldpfeil (Holdings) Limited (in PDF)
2006-August-21	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-18	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-17	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-17	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-16	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-16	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd., the Potential Offeror (in PDF)
2006-August-16	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-15	Conditional Mandatory Cash Offer by J.P. Morgan Securities (Asia Pacific) Limited on behalf of Givemore Investments Limited ("Givemore") for All the Issued Ordinary Shares of Asia Financial Holdings Limited of HK$1.00 Each at a Price of HK$3.50 Per Share (Other Than Those Shares Already Owned by Givemore and Parties Acting in Concert with It) - Disclosure of Dealings in the Securities of Asia Financial Holdings Limited (in PDF)
2006-August-15	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd. (in PDF)
2006-August-15	Stay Vigilant Against Misappropriation (in PDF)
2006-August-14	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-14	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd. (in PDF)
2006-August-14	Proposed Privatisation of Wong's Kong King International (Holdings) Limited by Profit Ascent Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in the Shares of Wong's Kong King International (Holdings) Limited (in PDF)
2006-August-14	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Giordano International Limited (in PDF)
2006-August-14	SFC Releases the First Quarterly Report for the Financial Year 2006-2007 (in PDF)
2006-August-11	Possible Offer for Shares in Giordano International Limited - Disclosure of Dealings in the Securities of Fast Retailing Co., Ltd. (in PDF)
2006-August-11	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-11	Inclusion of H-Shares in the HSI and Possible Impact on the Market (in PDF)
2006-August-10	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-10	Administrators Appointed for Wing Yip Company Ltd (in PDF)
2006-August-10	SFC Prosecutes Mak Ka Bo Alex and Yip Kit Yin Angela for Misleading the SFC (in PDF)
2006-August-9	SFC Reprimands and Fines Wong Tin Lai for Failing to Verify the Accuracy of the Financial Resources Rules Returns (in PDF)
2006-August-8	Proposed Privatisation of Wong's Kong King International (Holdings) Limited by Profit Ascent Limited by Way of a Scheme of Arrangement and Withdrawal of Listing - Disclosure of Dealings in the Shares of Wong's Kong King International (Holdings) Limited (in PDF)
2006-August-8	SFC Makes Progress in Inquiry into Wing Yip Company Ltd (in PDF)
2006-August-7	SFC Issues Restriction Notice on Wing Yip Company Limited (in PDF)
2006-August-3	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-August-3	SFC Prosecutes Wu Mei Mui for Unlicensed Dealing in Securities (in PDF)
2006-August-3	SFC Prosecutes Chu Soi Pio for Making Unsolicited Calls (in PDF)
2006-August-1	The Executive Received the Following Disclosure of Dealings in the Shares in Hanny Pursuant to Rule 22 of the Hong Kong Code on Takeovers and Mergers - Details of Dealing in the Shares in Hanny (in PDF)
2006-July-28	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-July-28	Court Continues Appointment of Administrators of Tiffit Securities (Hong Kong) Limited and Makes a Prohibition Order Against Mr Kwok Wood Yan (in PDF)
2006-July-27	Voluntary Conditional Offer by Goldman Sachs (Asia) L.L.C. on behalf of GOME Electrical Appliances Holding Limited to Acquire All of the Issued Share Capital of China Paradise Electronics Retail Limited Not Already Owned by GOME Electrical Appliances Holding Limited and Parties Acting in Concert with It by Way of a Combination of Shares of GOME Electrical Appliances Holding Limited and Cash - Disclosure of Dealings in the Securities of GOME Electrical Appliances Holding Limited (in PDF)
2006-July-27	July Issue of SFC Enforcement Reporter Published (in PDF)
2006-July-27	Process Review Panel Annual Report (in PDF)
2006-July-25	SFC Reprimands and Fines Excalibur Futures Limited and Poon Kwok Wah Allan for FRR Breaches and Supervisory Failures Respectively (in PDF)
2006-July-25	Dr Wise on Voting in Privatisations (in PDF)
2006-July-24	Administrator Appointed for Tiffit Securities (Hong Kong) Limited (in PDF)
2006-July-24	SFC Inquiry into Ocean Grand Holdings and Ocean Grand Chemicals Holdings (in PDF)
2006-July-21	SFC Makes Progress in Inquiry into Tiffit Securities (in PDF)
2006-July-20	SFC Prosecutes Yu Hoi Yan for Unlicensed Leveraged Forex Dealing (in PDF)
2006-July-20	SFC Reprimands and Fines Celestial Securities Limited and Kwan Pak Leung Horace (in PDF)
2006-July-19	SFC Bans Leung Chin Pang from Re-Entering the Industry for Facilitating Cold Calling and Failing to Give Reasonable Investment Advice to Clients (in PDF)
2006-July-19	Another Record Growth Year for Hong Kong's Fund Management Business (in PDF)
2006-July-18	SFC Issues Restriction Notice on Tiffit Securities (Hong Kong) Limited (in PDF)
2006-July-18	SFC Suspends Luk Kam Yuen Perry for Breaches of Anti-Money Laundering Guidelines, the Securities and Futures (Financial Resources) Rules and Code of Conduct, and Internal Control Failures (in PDF)
2006-July-14	SFC Welcomes Appointment of Mrs Angelina Lee as SFC Non-Executive Director (in PDF)
2006-July-13	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-July-7	SFC Prosecutes Wong Yick Keung for Making Unsolicited Calls (in PDF)
2006-June-30	Public Shareholders Group (in PDF)
2006-June-29	SFC Prosecutes Ko Hay Tat Michael for Short Selling (in PDF)
2006-June-29	"Learn More About Investing" on MetroFinance (in PDF)
2006-June-28	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-June-27	Dr Wise on Auditors' Circularisation Exercises (in PDF)
2006-June-27	Deloitte & Touche Corporate Finance Limited Voluntarily Refrains from Acting as Sponsors for GEM and Main Board Listings and Chia Kee Loong, Lawrence Voluntarily Refrains from Acting as Supervisor to Sponsorship Mandates (in PDF)
2006-June-26	Watch Out for Pooling Risk of Margin Accounts (in PDF)
2006-June-23	SFC Prosecutes World Trade Assets Market Inc. and Chan Tai Jee for Unlicensed Securities Dealing and Issuance of Unauthorised Advertisement (in PDF)
2006-June-23	SFC Publishes June Issue of SFC Alert (in PDF)
2006-June-23	June Issue of SFC Enforcement Reporter Published (in PDF)
2006-June-22	SFC Prosecutes Tiger Tech Holdings Limited for Failing to Keep and Update the Registers of Interests in Shares (in PDF)
2006-June-22	Possible Offer for Shares in SUNDAY Communications Limited (SUNDAY) - Disclosure of Dealings in the Shares of SUNDAY (in PDF)
2006-June-22	SFC Prosecutes Chow Yin Ling for Short Selling (in PDF)
2006-June-22	Towards a Fair, Efficient and Transparent Global Market (in PDF)
2006-June-22	Trading of Listed Derivatives Is More Active in Hong Kong Than Overseas (in PDF)
2006-June-19	Lee Siu Hung Surrenders His Licences to the SFC for Providing False Information at an SFC Interview (in PDF)
2006-June-16	Essential Services to Continue as SFC Moves to Five-Day Week (in PDF)
2006-June-15	SFC Suspends Fung Wing Nam Florence for Breaches of the Code of Conduct (in PDF)
2006-June-15	SFC Suspends Chan Ho Yin for Various Breaches of the Code of Conduct (in PDF)
2006-June-14	SFC Prosecutes Law Wing Sang for Making Unsolicited Calls (in PDF)
2006-June-14	Positioning of Hong Kong amid Reforms in the Mainland Financial Markets (in PDF)
2006-June-12	Unique Role of Hong Kong in Asian Capital Markets' Development (in PDF)
2006-June-9	SFC Prosecutes Choi Chi Ming for Making Unsolicited Calls and Disclosing to Others Details of an SFC Interview (in PDF)
2006-June-9	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-June-9	Court Continues Appointment of Administrator of Whole Win Securities Limited (in PDF)
2006-June-8	SFC Prosecutes Lai Chung Wong for Unregistered Dealing (in PDF)
2006-June-8	IOSCO Annual Conference Final Communique (in PDF)
2006-June-7	Opening Ceremony of the 31st Annual Conference of IOSCO and Invitation to the Closing Press Conference (in PDF)
2006-June-7	SFC Chairman's Speech at the Opening Ceremony of the 31st Annual Conference of IOSCO (in PDF)
2006-June-6	SFC Suspends Keung Man Bun for Account Opening Failures and Failure to Give Reasonable Investment Advice (in PDF)
2006-June-2	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-June-2	Reading Financial Reports Pays Dividend (in PDF)
2006-June-2	Delegates Arriving for 31st IOSCO Annual Conference (in PDF)
2006-June-1	SFC Reprimands Ever-Long Securities Company Limited for Inadequate Internal Controls and Staff Supervision (in PDF)
2006-June-1	SFC Prosecutes Tang Yuk Kuen and Cheung Tak Woo for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-June-1	Press Release from Administrator of Whole Win Securities Limited (in PDF)
2006-June-1	Profitability of Brokers Increased in the First Quarter of 2006 (in PDF)
2006-May-31	Administrator Appointed for Whole Win Securities Limited (in PDF)
2006-May-30	Securities and Futures Appeals Tribunal Upholds the SFC's Decision to Suspend Ng Shun Fu (in PDF)
2006-May-30	Dr Wise Explains How Dividend Payments Affect Warrant Prices (in PDF)
2006-May-29	SFC Makes Progress in Inquiry into Whole Win Securities (in PDF)
2006-May-29	SFC Reprimands and Fines Wilfred T. Fry (Personal Financial Planning) Limited, Kevin John Coppard and Timothy John Rainsford for Unauthorised Issue of Promotional Documents in relation to a Collective Investment Scheme (in PDF)
2006-May-27	Investor Enquiries on Whole Win Securities (in PDF)
2006-May-26	SFC Issues Restriction Notice on Whole Win Securities Limited (in PDF)
2006-May-25	SFC Suspends Cho Wing Yiu David for Breaches of Anti-Money Laundering Guidelines, the Securities and Futures (Financial Resources) Rules and Code of Conduct, and Internal Controls Failures (in PDF)
2006-May-23	Conditional Mandatory Cash Offers by Tai Fook Securities Company Limited on behalf of Honway Holdings Limited - Disclosure of Dealings in the Securities of the Cross-Harbour (Holdings) Limited (in PDF)
2006-May-23	Counting Down to 31st IOSCO Annual Conference (in PDF)
2006-May-22	SFC Reprimands and Fines Wong Chi Ming for Breach of the Staff Dealing Policy of His Employer (in PDF)
2006-May-19	Circus Capital Fund - Proposal of Transfer of Protected Growth Fund US Dollar Series 1 (in PDF)
2006-May-19	SFC Suspends Tan King Yu for Aiding and Abetting Unlicensed Activities and Failing to Assist SFC Investigations (in PDF)
2006-May-19	Gazettal of the Rules and Code of Conduct to Address Risks Arising from Securities Margin Financing and Impose Paid-Up Share Capital Requirements for Sponsors (in PDF)
2006-May-18	SFC Workshops Recognised as CPD Courses for Teachers (in PDF)
2006-May-18	May Issue of SFC Enforcement Reporter Published (in PDF)
2006-May-17	Voluntary Conditional Offer by Citigroup Global Markets Asia Limited (CGMAL) on behalf of China Resources Logic Limited to Acquire All of the Issued Shares in the Share Capital of CSMC Technologies Corporation (CSMC) Other than Those Already Owned by China Resources Logic Limited and Parties Acting in Concert with It - Disclosure of Dealings in the Shares in CSMC (in PDF)
2006-May-17	SFC Revokes the Licence of Ng Ting Shag and Bans Him for Life for Stealing Clients' Securities, Giving False Information to SFC and Conspiring to Pervert the Course of Public Justice (in PDF)
2006-May-17	2005-06: A Year of Considerable Achievements (in PDF)
2006-May-12	Hong Kong's High Standards Attract Issuers and Investors (in PDF)
2006-May-12	SFC and RTHK Jointly Promote Informed Investing in Complex and Structured Products (in PDF)
2006-May-11	SFC Prosecutes Fong For for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-May-11	SFC Prosecutes Kingston Finance Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-May-11	SFC Prosecutes Cheng Chun Kin Bill for Short Selling (in PDF)
2006-May-11	SFC Prosecutes Wang Joel J for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-May-11	Ngai Leung Wai Fined for Misleading the SFC (in PDF)
2006-May-11	Update on Dual Filing (in PDF)
2006-May-10	Enforcement is a Strategic Priority of the SFC (in PDF)
2006-May-10	FAQs on REIT Distributions (in PDF)
2006-May-4	SFC Prosecutes Universal Technologies Holdings Limited for Failing to Update Its Index to the Register of Interests in Shares and Its Index to the Register of Directors' and Chief Executives' Interests in Shares (in PDF)
2006-May-4	SFC Prosecutes Link Silver International Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-May-2	UKFP (Asia) HK Limited (in PDF)
2006-May-2	SFC Suspends Man Tak Hung, Chan Wing Tat and Kwong Yim Heung Angela for Breaches of the Code of Conduct (in PDF)
2006-May-2	UKFP (Asia) HK Limited (Formerly Called Towry Law (Asia) HK Limited) Offers Settlement to Investors in PGF and Geared Products - SFC Settles Disciplinary Proceedings with a Severe Reprimand (in PDF)
2006-April-28	Close Relationship between Active Trading on the Hong Kong Stock Market and Capital Inflow amid China Factors (in PDF)
2006-April-27	SFC Prosecutes Law Chun Pon for Making Unsolicited Calls (in PDF)
2006-April-27	Joint SFC/HKMA Enforcement Action - SFC Prosecutes and SFC and HKMA Jointly Discipline Ho Po Hung for Unlicensed Dealing, Chow Lai Him and Wing Lung Futures Limited for Aiding and Abetting Unlicensed Dealing, and Tam Po Chiu for Supervisory Failings (in PDF)
2006-April-27	SFC Bans Ko Siu Lun from Re-Entering the Industry for Supervisory Failures (in PDF)
2006-April-27	SFC Reprimands and Fines Hong Kong Wealth Management Limited for Internal Control and Supervisory Failures (in PDF)
2006-April-26	SFC Prosecutes Wong Wei Yin Peter for Market Manipulation and Misleading the SFC (in PDF)
2006-April-26	SFC Publishes April Issue of SFC Alert (in PDF)
2006-April-26	SFC Bans Chau Sik Ki from Re-Entering the Industry for Failures to Comply with the SFO and to Act in His Client's Interests (in PDF)
2006-April-25	Mandatory Unconditional Cash Offer by Dao Heng Securities Limited on behalf of Micon Limited, a Wholly Owned Subsidiary of South China Holdings Limited, to Acquire All the Issued Shares of Nority International Group Limited - Disclosure of Dealings in the Shares of Nority International Group Limited (in PDF)
2006-April-25	Consistent Approach in REITs Authorisation (in PDF)
2006-April-25	Dr Wise Explains How Capital Restructuring Affects You (in PDF)
2006-April-24	Mandatory Unconditional Cash Offer by Dao Heng Securities Limited on behalf of Micon Limited, a Wholly Owned Subsidiary of South China Holdings Limited, to Acquire All the Issued Shares of Nority International Group Limited - Disclosure of Dealings in the Shares of Nority International Group Limited (in PDF)
2006-April-24	SFC Reprimands and Fines Sun Growth Securities Limited, Ng Kei Choy Stephen and Kao Wing Lun for Breaching the Code of Conduct (in PDF)
2006-April-21	April Issue of SFC Enforcement Reporter Published (in PDF)
2006-April-20	Securities and Futures Appeals Tribunal Upholds the SFC's Decision to Reprimand and Fine Prudential Brokerage Limited and Lau Shing Ngon (in PDF)
2006-April-20	SFC Suspends Sheung Chi Keung, Thomas for Turning a Blind Eye to Possibly Illegal Activities, Breaching the Know-Your-Client Rule and Other Failings (in PDF)
2006-April-20	SFC Suspends Lok Yuen Ming Lawrence for Failure to Provide Accurate Information to the SFC (in PDF)
2006-April-19	CEPA Brings Opportunities to Hong Kong and the Mainland (in PDF)
2006-April-18	SFC Reprimands and Fines Chow Chuen Ho for Breaching the Code of Conduct and Internal Policy of Her Employer (in PDF)
2006-April-12	SFC Disciplines Chong Chin and Yao Sze Ling for Management and Supervisory Failures and Yicko Securities Limited for Improper Client Margin Management and Failure to Comply with Client Money Rules (in PDF)
2006-April-12	SFC Signs Memorandum of Understanding with the Israel Securities Authority (in PDF)
2006-April-10	Strengthening the Regulation of Sponsors and Compliance Advisers (in PDF)
2006-April-10	SFC Reprimands and Suspends Tong Chuck Yee Thomas for Breaching the Code of Conduct and Providing Misleading Information to the SFC (in PDF)
2006-April-7	Consultation Conclusions on Proposed Measures to Address Risks Arising from Securities Margin Financing (in PDF)
2006-April-6	Hong Kong Keeps Abreast of Developments in Other Warrants Markets (in PDF)
2006-April-4	Fidelity Insurance for Exchange Participants (in PDF)
2006-March-31	SFC Appoints Takeovers Panel and Takeovers Appeal Committee Members (in PDF)
2006-March-31	SFC Suspends Mak Wing Shun Agnes for Failures to Comply with the SFO and to Give Reasonable Investment Advice (in PDF)
2006-March-31	SFC Update on Six-Point Plan for the Derivative Warrants Market (in PDF)
2006-March-31	SFC Appoints Members of the SFC (HKEC Listing) Committee (in PDF)
2006-March-31	SFC Appoints Dual Filing Advisory Group Members (in PDF)
2006-March-30	SFC Reprimands Sarasin Rabo Investment Management Limited and Simon John Ruckert for Inadequate Internal Controls (in PDF)
2006-March-29	Securities and Futures Appeals Tribunal Upholds the SFC's Decision to Suspend Chim Chai Shan Jovin for Dishonestly Signing on Internal Documents (in PDF)
2006-March-29	Regulatory Challenges and Responses (in PDF)
2006-March-28	SFC Suspends Kou Kuen Katerine and Reprimands and Fines Victory Securities Company Limited for Breaching the Code of Conduct (in PDF)
2006-March-28	Dr Wise Asks Investors to Guard Against Misappropriation (in PDF)
2006-March-27	Think-Tank Plays a Crucial Role in Enhancing Investor Education (in PDF)
2006-March-21	SFC Prosecutes Chan Kei and Yeung Wan Yiu for Making Unsolicited Calls (in PDF)
2006-March-21	SFC Prosecutes Ng Hon Chung, Ng Kwok Wing and Cheung Joe Kin Cho for Market Manipulation (in PDF)
2006-March-14	Dr Wise Cautions Investors Against Following REIT Rumours (in PDF)
2006-March-14	March Issue of SFC Enforcement Reporter Published (in PDF)
2006-March-13	SFC Bans Wong Yu Kit from Re-Entering the Industry for Facilitating Cold Calling and Failing to Give Reasonable Investment Advice to Clients (in PDF)
2006-March-13	Strong Line-Up of Speakers for IOSCO Annual Conference Panels (in PDF)
2006-March-10	Investors Consider Warrants Highly Risky (in PDF)
2006-March-10	Key Initiatives in 2006 for "Investors First" (in PDF)
2006-March-9	SFC Prosecutes Chiu Chui Yi for Unregistered Dealing (in PDF)
2006-March-9	More Investors, But Not Savvy Enough (in PDF)
2006-March-9	SFC Settles Disciplinary Action with Grand Cathay Securities (Hong Kong) Limited and Its Responsible Officer Kwan Pok Tat for Internal Control Failings (in PDF)
2006-March-8	Investors Must Take Proactive Steps to Protect Their Own Interests Against Misappropriation (in PDF)
2006-March-7	SFC Takes Action Against CSC Asia Limited, Mr Chiu Chi Kin Andrew and Mr Tang Ho Wai Howard (in PDF)
2006-March-6	Tight Control of Expenditure in 2006/07 (in PDF)
2006-March-1	SFC Appoints Academic and Accreditation Advisory Committee Members (in PDF)
2006-March-1	SFC Bans Lam Wing Chit from Re-Entering the Industry for Failures to Comply with the SFO and to Give Reasonable Investment Advice (in PDF)
2006-March-1	Winners of "My Investment Story" Competition Awarded (in PDF)
2006-February-28	Update on Dual Filing (in PDF)
2006-February-28	SFC Quarterly Bulletin (in PDF)
2006-February-28	Dr Wise on Trading Stock in a "Wise" Way (in PDF)
2006-February-24	SFC Chairman's Visit to Shanghai (in PDF)
2006-February-24	SFC Publishes February Issue of SFC Alert (in PDF)
2006-February-23	SFC Prosecutes Tsoi Man Chi for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-February-23	SFC Prosecutes New-Alliance Asset Management (Asia) Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-February-22	Business Continuity Planning Meeting for Asian Financial Regulators 2006 (in PDF)
2006-February-22	SFC Prohibits Ng Hung Yu from Re-Entering the Industry for Providing False Information at an SFC Interview, Allowing Clandestine and Unauthorised Third Party Orders and Operating Discretionary Accounts wthout Written Authorisations (in PDF)
2006-February-22	SFC Welcomes Budget Measures (in PDF)
2006-February-20	SFC Bans Wong Tak Yuen Adrian from Re-Entering the Industry for Facilitating Unlicensed Dealing Activities (in PDF)
2006-February-17	February Issue of SFC Enforcement Reporter Published (in PDF)
2006-February-14	SFC Releases the Third Quarterly Report for the Financial Year 2005-2006 (in PDF)
2006-February-13	Enforcement and Education: SFC Priorities in 2006 (in PDF)
2006-February-13	SFC Suspends Siu Hon Ming for Improper Conduct Including Failures Relating to Unsolicited Calls (in PDF)
2006-February-10	SFC Prosecutes Heritage International Holdings Limited, Coupeville Limited and Dollar Group Limited for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-February-8	SFC Prosecutes Tan King Yu for Aiding and Abetting Unlicensed Leveraged Foreign Exchange Trading and Failure to Assist SFC Investigation (in PDF)
2006-February-6	SFC to Expedite Measures to Reduce Risks Arising from Share Margin Financing (in PDF)
2006-February-6	Public Statement on Sun Po Yee (in PDF)
2006-February-1	The SFC Reprimands Yau Shu Cheung, Gary for Improper Conduct in Handling Internal Documents (in PDF)
2006-January-26	SFC Prosecutes Everbest Investments Limited and Yu Chiu Wo for Contravening Part XV of the Securities and Futures Ordinance (in PDF)
2006-January-24	SFC Prosecutes Chau Sik Ki for Making Unsolicited Calls (in PDF)
2006-January-24	Dr Wise on the Importance of Asking the Right Questions (in PDF)
2006-January-20	January Issue of SFC Enforcement Reporter Published (in PDF)
2006-January-19	Voluntary Conditional Offer by Morgan Stanley Dean Witter Asia Limited on behalf of Profit Eagle Limited for All the Shares of Superdata Software Holdings Limited (Other than Those Already Held by Profit Eagle Limited and Its Concert Parties) and the Proposed Withdrawal of Listing of Superdata and the Cancellation of All Outstanding Share Options of Superdata - Disclosure of Dealings in the Securities of Superdata Software Holdings Limited (in PDF)
2006-January-16	SFC Chairman's Speech on Corporate Governance (in PDF)
2006-January-16	Public Statement on Eurwongpravit Praphant (in PDF)
2006-January-12	SFC Prosecutes Cheung Wan Chiu for Market Manipulation (in PDF)
2006-January-11	SFC Bans Chow Wai Ho from Re-Entering the Industry for Failure to Comply with the SFO (in PDF)
2006-January-10	Stephen Lee Sing Wai Sentenced to Immediate Imprisonment for Market Manipulation (in PDF)
2006-January-10	"Before You Invest, Ask the Right Questions" - Investor Education Theme 2006 (in PDF)
2006-January-6	Amendments to Schedule 5 to the SFO Effective from 6 January 2006 (in PDF)
2006-January-5	Acting SFC Chairman's Statement at LegCo Financial Affairs Panel (in PDF)
2006-January-4	Voluntary Conditional Offer by Morgan Stanley Dean Witter Asia Limited on behalf of Profit Eagle Limited for All the Shares of Superdata Software Holdings Limited (Other than Those Already Held by Profit Eagle Limited and Its Concert Parties) and the Proposed Withdrawal of Listing of Superdata and the Cancellation of All Outstanding Share Options of Superdata - Disclosure of Dealings in the Shares of Superdata Software Holdings Limited (in PDF)
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