Ask anything about Hong Kong regulatory compliance. Answers use your firm's live compliance data as context and cite the relevant SFC codes where possible.
Breaches, complaints, errors and self-reporting
| Incident | Type | Severity | Material | Occurred | Status |
|---|---|---|---|---|---|
| Late BRMQ submission | Breach | Medium | — | 5 Oct 2026 | Under Investigation |
| Guideline breach – single position exceeded 10% NAV soft limit | Error | Low | — | 9 Jun 2026 | Closed |
2 of 2 breach & incident register · click or press Enter on a row to view or edit