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SFC Hong Kong Source document ↗

SFC Hong Kong Financial Crime ✓ 12 claims 16 Oct 2026

SFC to hold two AML/CFT webinars for intermediaries on 12-13 November 2026

The SFC has announced a two-session AML/CFT webinar covering regulatory updates, supervisory observations, scam typologies and suspicious transaction reporting feedback. Compliance officers and management with AML/CFT responsibility should note the enrolment deadline and the firm-level cap on attendee numbers before registering.

The SFC will host AML/CFT webinar sessions on 12 and 13 November 2026 via Zoom.
Each firm may submit only one enrolment form, due by 27 October 2026.
Enrolment is capped at a maximum of two representatives per firm.
Places are allocated first-come, first-served, with first nominees prioritised ahead of second nominees.
Attendees completing the whole session can earn 2.5 Continuous Professional Training hours.

Source document

0:15

SFC Hong Kong Source document ↗

SFC Hong Kong Financial Crime ✓ 18 claims 11 Oct 2026

SFC fines Zheng Da $7 million over client-supplied trading systems and AML control gaps

The SFC fined a Hong Kong futures broker and suspended its responsible officer over anti-money-laundering failures tied to client-supplied trading systems connected via API. Worth a few minutes to see how CSS-through-API arrangements and the Manager-In-Charge regime are being enforced, and why carrying on despite peer enforcement aggravated the outcome.

Zheng Da reprimanded and fined $7 million for AML/CFT and other failures between 1 December 2021 and 30 September 2023.
Responsible officer Zhong Hao suspended for seven months, from 28 September 2026 to 27 April 2027.
SFC found no due diligence or testing on customer-supplied systems used by 160 clients, and 176 undetected same-second matched buy/sell orders.

Source document