Intermediary misconduct tops HK regulator investigations

Added 22nd June 2016

The Hong Kong Securities and Futures Commission (SFC) investigated 226 intermediaries for misconduct in 2015/16, up from 187 the previous year.

Intermediary misconduct tops HK regulator investigations

The number of investigations into intermediary misconduct has increased every year since 2011/12.

The SFC also carried out a range of investigations into corporate disclosure, corporate mis-governance, insider dealing, market manipulation, and unlicensed activities.  

Intermediary misconduct, however, tops the list every year (see table). 

Unlicensed activity

The second most prevalent area of investigation is market manipulation, but one of the fastest growing is unlicensed activity.

What was the smallest area of investigation in 2011/12; unlicensed activities now rank third, overtaking insider dealing and corporate disclosure and mis-governance.

  For more information about complaints and prosecutions, click through to the next page...

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About Author

Kirsten Hastings

Senior Reporter

Kirsten is a senior reporter for International Adviser, covering global news stories about the financial services industry. She joined Last Word Media in October 2015 after two years working as a reporter covering the staffing and recruitment industry. Kirsten has a Masters in Financial Journalism from the University of Stirling. 


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