Securities and Futures Commission

Enforcement

Hong Kong Authorities Arrest Eight in Insider Trading, Corruption Probe

By Mark Johnston | 13/03/2026

Joint SFC-ICAC operation targets executives at two brokerages and a hedge fund in a scheme that allegedly netted HKD 315 million from illicitly obtained placement data.

Securities / Derivatives

Korean Regulators Refer 11 to Prosecutors in Major Stock Manipulation Case

By Sanday Chongo Kabange | 12/03/2026

The group, including financial professionals, allegedly used over KRW 100 billion and a company’s own treasury shares to manipulate prices.

Enforcement

Hong Kong Authorities Raid Citic Securities, Guotai Junan Offices - Reports

By Sanday Chongo Kabange | 12/03/2026

The move marks a significant escalation of regulatory scrutiny into the city's financial sector amid a boom in capital markets activity.

Securities / Derivatives

APAC Securities Lending Shaped by Complex Local Regulation - Report

By Manesh Samtani | 11/03/2026

New report details how unique rules in Hong Kong, Japan, and Australia create a complex operational and regulatory landscape for securities finance.

AML / KYC

SFC Urges Industry Action Amid 40pc Surge in Investment Fraud

By Sanday Chongo Kabange | 11/03/2026

Regulator reveals that a 24/7 payment-freeze mechanism has intercepted over 50 percent of targeted criminal funds, calling for greater industry cooperation.

Securities / Derivatives

SFC Tightens IPO Underwriter Scrutiny, Causing Hiring Delays - Reports

By Editors | 06/03/2026

The SFC has intensified checks on IPO underwriters, citing poor submission quality and creating recruitment challenges for brokerages.

Fintech / Regtech

Hong Kong Regulators Expand GenAI Sandbox Across Entire Financial Sector

By Sanday Chongo Kabange | 06/03/2026

The initiative now covers securities, insurance, pensions and payments, offering firms free computing power to test AI in a controlled environment.

ESG / Sustainability

SFC Chief Outlines Five-Point Strategy for Maintaining Market Resilience

By Sanday Chongo Kabange | 06/03/2026

Julia Leung warns against complacency amid market buoyancy, outlining a five-point strategy for APAC to build resilience through technology and collaboration.

Securities / Derivatives

Korea Eases OTC Trading Rules for Foreign Investors

By Mark Johnston | 05/03/2026

South Korea's FSC has proposed amending investment rules to allow foreign investors to trade restricted shares over-the-counter without prior approval.