Track all Securities and Futures Commission (SFC) fines and enforcement actions. 221 penalties from 2020-2026. Complete database with stats, trends, and analysis.
Coverage Snapshot
- Regulator: Securities and Futures Commission
- Jurisdiction: Hong Kong
- Tracked period: 2020-2026
- Tracked actions: 221
- Default currency: GBP
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Largest enforcement actions
| Firm or individual | Date | Amount | Breach category | Source |
|---|---|---|---|---|
| Wong Chi Fai | 26 Jan 2026 | £67,000,000 | SFC suspends Wong Chi Fai for 27 months | Notice |
| Chan Yiu Ting | 12 Aug 2020 | £57,300,000 | SFC bans Chan Yiu Ting for 18 months | Notice |
| Goldman Sachs (Asia) L.L.C | 22 Oct 2020 | £35,000,000 | SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings | Notice |
| Citigroup Global Markets Asia Limited | 28 Jan 2022 | £34,825,000 | SFC reprimands and fines Citigroup Global Markets Asia Limited $348.25 million for serious regulatory failures over client facilitation activities | Notice |
| Mo Shau Wah | 23 Mar 2020 | £11,020,000 | SFC bans Mo Shau Wah for life | Notice |
| Nerico Brothers Limited’s former responsible officer, manager-in-charge and director Paul Wan Kai Leung | 26 May 2026 | £6,800,000 | SFC bans Nerico Brothers Limited’s former responsible officer, manager-in-charge and director Paul Wan Kai Leung for life | Notice |
| Hang Seng Bank Limited | 27 Jan 2025 | £6,640,000 | SFC reprimands and fines Hang Seng Bank Limited $66.4 million for misconduct in selling practices of investment products | Notice |
| Leung Siu Lun | 1 Mar 2022 | £4,800,000 | SFC bans Leung Siu Lun for life | Notice |
| Guotai Junan Securities (Hong Kong) Limited | 22 Jun 2020 | £2,520,000 | SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements | Notice |
| Deutsche Bank Aktiengesellschaft | 28 Aug 2025 | £2,380,000 | SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million for regulatory breaches | Notice |
| Changjiang Corporate Finance (HK) Limited | 21 Aug 2023 | £2,000,000 | SFC fines Changjiang Corporate Finance (HK) Limited $20 million and suspends its licence for serious and extensive sponsor failures | Notice |
| BOCOM International Securities | 20 Apr 2020 | £1,960,000 | SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures | Notice |
| Lui Pak Tong | 24 Mar 2026 | £1,743,000 | SFC bans Lui Pak Tong for life and fines him $17.43 million for misconduct | Notice |
| Lui Pak Tong | 24 Mar 2026 | £1,743,000 | Misconduct | Notice |
| UBS AG and UBS Securities Asia Limited | 3 Aug 2021 | £1,155,000 | SFC reprimands and fines UBS AG and UBS Securities Asia Limited $11.55 million for regulatory breaches | Notice |
| EFG Bank AG | 11 Dec 2025 | £1,085,000 | SFC reprimands and fines EFG Bank AG $10.85 million for regulatory breaches and internal control failures | Notice |
| Kylin International (HK) Co., Limited | 9 Feb 2026 | £900,000 | SFC reprimands and fines Kylin International (HK) Co., Limited $9 million for fund management failures | Notice |
| Xinhu International Futures (Hong Kong) Co., Limited | 9 Oct 2024 | £900,000 | SFC reprimands and fines Xinhu International Futures (Hong Kong) Co., Limited $9 million and suspends its former responsible officer Ngai Wai for nine months | Notice |
| Rifa Futures Limited | 25 Jul 2022 | £900,000 | SFC reprimands and fines Rifa Futures Limited $9 million for regulatory breaches | Notice |
| UBS AG | 20 Oct 2025 | £800,000 | SFC reprimands and fines UBS AG $8 million for professional investor misclassification | Notice |
Amounts are normalised to GBP for comparison.