7 May 2026
SECURITIES AND FUTURES COMMISSION v. ZHU YU GUO AND OTHERS
- Citation
- [2026] HKCFI 2562
- Court
- Court of First Instance
- Case number
- HCMP1439/2019
On the agreed facts the court was satisfied R3’s conduct while Financial Controller amounted to misfeasance and misconduct and resulted in members not being given material information and unfair prejudice within s214(1)(b),(c) and (d). A 2-year disqualification was appropriate in the minimum bracket given the role, failures, mitigation and absence of dishonesty. The court allowed a limited carve-out for three private companies on exceptional factual grounds and granted the SFC leave to discontinue proceedings against the 1st,2nd,4th and 5th respondents.