Futu Gets Investigation Notice From China Regulator

Dow Jones

05/22

By Nicholas G. Miller

Futu Holdings received a notice of investigation and an administrative penalty pre-notification letter from the China Securities Regulatory Commission and its Shenzhen bureau.

Shares sank 37% to $78.50 in premarket trading.

The commission alleges that certain Futu entities in mainland China and Hong Kong conducted securities business, public fund sales business and futures business in mainland China without obtaining the requisite licenses or approval.

The regulator plans to order the company to rectify or cease such activities, confiscate illegal gains, and impose fines. The total proposed penalty is worth RMB1.85 billion ($271 million). The commission is also proposing to impose a personal fine of RMB1.25 million on Chief Executive Li Hua.

Also on Friday, China's securities regulator said it plans to impose penalties on other online brokerages, Tiger Brokers' New Zealand subsidiary and LongBridge Securities' Hong Kong unit, for trading infractions in the mainland.

Write to Nicholas G. Miller at nicholas.miller@wsj.com.

(END) Dow Jones Newswires

May 22, 2026 09:38 ET (13:38 GMT)

Copyright (c) 2026 Dow Jones & Company, Inc.

應版權方要求，你需要登入查看該內容

登入 / 註冊

免責聲明：投資有風險，本文並非投資建議，以上內容不應被視為任何金融產品的購買或出售要約、建議或邀請，作者或其他用戶的任何相關討論、評論或帖子也不應被視為此類內容。本文僅供一般參考，不考慮您的個人投資目標、財務狀況或需求。TTM對信息的準確性和完整性不承擔任何責任或保證，投資者應自行研究並在投資前尋求專業建議。

熱議股票

1
2
3
4
5
6
7
8
9
10

{"basename":"/hant","ssrTDKData":{"titleTemplate":"%s - 老虎證券","title":"老虎证券全球投资理财平台| 一站式投资美股新股港股A股","description":"老虎证券助您一站式投资美股，新股，港股，A股等全球金融理财产品。新加坡华人最信赖的在线投资平台，现在加入即享低费用，24/5 无时差炒美股投资理财！","keywords":"老虎證券,老虎證券開戶,老虎券商,老虎證券官網,老虎證券app,tigertrade老虎證券,股票,炒股,新加坡股票交易平臺,投資,投資理財","social":{"ogDescription":"老虎证券助您一站式投资美股，新股，港股，A股等全球金融理财产品。新加坡华人最信赖的在线投资平台，现在加入即享低费用，24/5 无时差炒美股投资理财！","ogImage":"https://c1.itigergrowtha.com/portal5/static/media/og-logo.0a0bd8dc.png","ogUrl":"https://www.itiger.com/hant/news/2637317566"},"companyName":"老虎證券"},"pageData":{"isMobile":false,"isTiger":false,"isTTM":true,"region":"SGP","license":"TBSG","edition":"fundamental"},"isCrawlerRequest":true,"__swrFallback__":{"@#url:\"https://stock-news.skytigris.cn/v3/news\",params:#id:\"2637317566\",edition:\"fundamental\",auth_exemption:1,,,undefined,":{"share":"https://ttm.financial/m/news/2637317566?lang=zh_TW&edition=fundamental","thumbnail":"","is_english":true,"pubTime":"2026-05-22 21:38","share_image_url":"https://static.laohu8.com/e9f99090a1c2ed51c021029395664489","id":"2637317566","market":"sg","top_or_hot":-1,"title":"Futu Gets Investigation Notice From China Regulator","media":"Dow Jones","content":"<font class=\"NormalMinus1\" face=\"Arial\">\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  By Nicholas G. Miller \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  Futu Holdings received a notice of investigation and an administrative penalty pre-notification letter from the <a href=\"https://laohu8.com/S/601066\">China Securities</a> Regulatory Commission and its Shenzhen bureau. \n</p>\n<p>\n  Shares sank 37% to $78.50 in premarket trading. \n</p>\n<p>\n  The commission alleges that certain Futu entities in mainland China and Hong Kong conducted securities business, public fund sales business and futures business in mainland China without obtaining the requisite licenses or approval. \n</p>\n<p>\n  The regulator plans to order the company to rectify or cease such activities, confiscate illegal gains, and impose fines. The total proposed penalty is worth RMB1.85 billion ($271 million). The commission is also proposing to impose a personal fine of RMB1.25 million on Chief Executive Li Hua. \n</p>\n<p>\n  Also on Friday, China's securities regulator said it plans to impose penalties on other online brokerages, Tiger Brokers' New Zealand subsidiary and LongBridge Securities' Hong Kong unit, for trading infractions in the mainland. \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  Write to Nicholas G. Miller at nicholas.miller@wsj.com. \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  (END) Dow Jones Newswires\n</p>\n<p>\n  May 22, 2026 09:38 ET (13:38 GMT)\n</p>\n<p>\n  Copyright (c) 2026 Dow Jones &amp; Company, Inc.\n</p>\n</font>","source":null,"html":"<!DOCTYPE html>\n<html>\n<head>\n<meta http-equiv=\"Content-Type\" content=\"text/html; charset=utf-8\" />\n<meta name=\"viewport\" content=\"width=device-width,initial-scale=1.0,minimum-scale=1.0,maximum-scale=1.0,user-scalable=no\"/>\n<meta name=\"format-detection\" content=\"telephone=no,email=no,address=no\" />\n<title>Futu Gets Investigation Notice From China Regulator</title>\n<style type=\"text/css\">\na,abbr,acronym,address,applet,article,aside,audio,b,big,blockquote,body,canvas,caption,center,cite,code,dd,del,details,dfn,div,dl,dt,\nem,embed,fieldset,figcaption,figure,footer,form,h1,h2,h3,h4,h5,h6,header,hgroup,html,i,iframe,img,ins,kbd,label,legend,li,mark,menu,nav,\nobject,ol,output,p,pre,q,ruby,s,samp,section,small,span,strike,strong,sub,summary,sup,table,tbody,td,tfoot,th,thead,time,tr,tt,u,ul,var,video{ font:inherit;margin:0;padding:0;vertical-align:baseline;border:0 }\nbody{ font-size:16px; line-height:1.5; color:#999; background:transparent; }\n.wrapper{ overflow:hidden;word-break:break-all;padding:10px; }\nh1,h2{ font-weight:normal; line-height:1.35; margin-bottom:.6em; }\nh3,h4,h5,h6{ line-height:1.35; margin-bottom:1em; }\nh1{ font-size:24px; }\nh2{ font-size:20px; }\nh3{ font-size:18px; }\nh4{ font-size:16px; }\nh5{ font-size:14px; }\nh6{ font-size:12px; }\np,ul,ol,blockquote,dl,table{ margin:1.2em 0; }\nul,ol{ margin-left:2em; }\nul{ list-style:disc; }\nol{ list-style:decimal; }\nli,li p{ margin:10px 0;}\nimg{ max-width:100%;display:block;margin:0 auto 1em; }\nblockquote{ color:#B5B2B1; border-left:3px solid #aaa; padding:1em; }\nstrong,b{font-weight:bold;}\nem,i{font-style:italic;}\ntable{ width:100%;border-collapse:collapse;border-spacing:1px;margin:1em 0;font-size:.9em; }\nth,td{ padding:5px;text-align:left;border:1px solid #aaa; }\nth{ font-weight:bold;background:#5d5d5d; }\n.symbol-link{font-weight:bold;}\n/* header{ border-bottom:1px solid #494756; } */\n.title{ margin:0 0 8px;line-height:1.3;color:#ddd; }\n.meta {color:#5e5c6d;font-size:13px;margin:0 0 .5em; }\na{text-decoration:none; color:#2a4b87;}\n.meta .head { display: inline-block; overflow: hidden}\n.head .h-thumb { width: 30px; height: 30px; margin: 0; padding: 0; border-radius: 50%; float: left;}\n.head .h-content { margin: 0; padding: 0 0 0 9px; float: left;}\n.head .h-name {font-size: 13px; color: #eee; margin: 0;}\n.head .h-time {font-size: 12.5px; color: #7E829C; margin: 0;}\n.small {font-size: 12.5px; display: inline-block; transform: scale(0.9); -webkit-transform: scale(0.9); transform-origin: left; -webkit-transform-origin: left;}\n.smaller {font-size: 12.5px; display: inline-block; transform: scale(0.8); -webkit-transform: scale(0.8); transform-origin: left; -webkit-transform-origin: left;}\n.bt-text {font-size: 12px;margin: 1.5em 0 0 0}\n.bt-text p {margin: 0}\n</style>\n</head>\n<body>\n<div class=\"wrapper\">\n<header>\n<h2 class=\"title\">\nFutu Gets Investigation Notice From China Regulator\n</h2>\n<h4 class=\"meta\">\n<div class=\"head\" \">\n\n<div class=\"h-thumb\" style=\"background-image:url(https://static.tigerbbs.com/150f88aa4d182df19190059f4a365e99);background-size:cover;\"></div>\n\n<div class=\"h-content\">\n<p class=\"h-name\">Dow Jones </p>\n<p class=\"h-time smaller\">2026-05-22 21:38</p>\n</div>\n</div>\n</h4>\n</header>\n<article>\n<font class=\"NormalMinus1\" face=\"Arial\">\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  By Nicholas G. Miller \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  Futu Holdings received a notice of investigation and an administrative penalty pre-notification letter from the <a href=\"https://laohu8.com/S/601066\">China Securities</a> Regulatory Commission and its Shenzhen bureau. \n</p>\n<p>\n  Shares sank 37% to $78.50 in premarket trading. \n</p>\n<p>\n  The commission alleges that certain Futu entities in mainland China and Hong Kong conducted securities business, public fund sales business and futures business in mainland China without obtaining the requisite licenses or approval. \n</p>\n<p>\n  The regulator plans to order the company to rectify or cease such activities, confiscate illegal gains, and impose fines. The total proposed penalty is worth RMB1.85 billion ($271 million). The commission is also proposing to impose a personal fine of RMB1.25 million on Chief Executive Li Hua. \n</p>\n<p>\n  Also on Friday, China's securities regulator said it plans to impose penalties on other online brokerages, Tiger Brokers' New Zealand subsidiary and LongBridge Securities' Hong Kong unit, for trading infractions in the mainland. \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  Write to Nicholas G. Miller at nicholas.miller@wsj.com. \n</p>\n<pre style=\"white-space: pre\">\n \n</pre>\n<p>\n  (END) Dow Jones Newswires\n</p>\n<p>\n  May 22, 2026 09:38 ET (13:38 GMT)\n</p>\n<p>\n  Copyright (c) 2026 Dow Jones &amp; Company, Inc.\n</p>\n</font>\n</article>\n</div>\n</body>\n</html>\n","isBrief":false,"type":0,"news_type":1,"symbol":"SG9999002463.SGD","symbol_name":"LionGlobal China Growth SGD","start_time":0,"source_url":"https://dowjonesnews.com/newdjn/logon.aspx?AL=N","article_id":"2637317566","we_media_id":"106","thumbnails":[],"rights":null,"url":"https://stock-news.laohu8.com/highlight/detail?id=2637317566","pubTimestamp":1779457080,"columns":[],"sourceInfo":null,"weMediaInfo":{"media_name":"Dow Jones","introduction":"Dow Jones publishes the world’s most trusted business news and financial information in a variety of media.","home_visible":0,"id":"106","head_image":"https://static.tigerbbs.com/150f88aa4d182df19190059f4a365e99"},"summary":"Futu Holdings received a notice of investigation and an administrative penalty pre-notification letter from the China Securities Regulatory Commission and its Shenzhen bureau.Shares sank 37% to $78.50 in premarket trading.The commission alleges that certain Futu entities in mainland China and Hong Kong conducted securities business, public fund sales business and futures business in mainland China without obtaining the requisite licenses or approval.The regulator plans to order the company to rectify or cease such activities, confiscate illegal gains, and impose fines. The total proposed penalty is worth RMB1.85 billion . The commission is also proposing to impose a personal fine of RMB1.25 million on Chief Executive Li Hua.Also on Friday, China's securities regulator said it plans to impose penalties on other online brokerages, Tiger Brokers' New Zealand subsidiary and LongBridge Securities' Hong Kong unit, for trading infractions in the mainland.","collect":0,"end_time":0,"defaultTopTitle":"","property":[],"viewcount":null,"language":"en","relate_stocks":{"SG9999002463.SGD":"LionGlobal China Growth SGD","LU0348766576.USD":"ALLIANZ LITTLE DRAGONS \"A\" (USD) INC","BK4566":"资本集团","FUTU":"富途控股","BK4588":"碎股","BK4509":"腾讯概念","BK4503":"景林资产持仓","BK4127":"投资银行业与经纪业","LU0348767384.USD":"ALLIANZLITTLE DRAGONS \"A\" (USD) ACC","BK4585":"ETF&股票定投概念","LU1048588211.SGD":"Blackrock Asian Dragon A2 SGD-H","LU1981816686.USD":"EASTSPRING INV ASIAN MULTI FACTOR EQUITY \"A\" (USD) ACC","BK4526":"热门中概股","FUTG":"2倍做多富途ETF-Leverage Shares","LU0072462343.USD":"贝莱德亚洲巨龙基金"},"translate_title":"富途收到中国监管机构的调查通知","themeId":null,"isJumpTheme":false,"ttsUrl":null,"symbols_score_info":{"FUTG":0.6,"FUTU":1.97},"content_text":"By Nicholas G. Miller \n\n\n \n\n\n  Futu Holdings received a notice of investigation and an administrative penalty pre-notification letter from the China Securities Regulatory Commission and its Shenzhen bureau. \n\n\n  Shares sank 37% to $78.50 in premarket trading. \n\n\n  The commission alleges that certain Futu entities in mainland China and Hong Kong conducted securities business, public fund sales business and futures business in mainland China without obtaining the requisite licenses or approval. \n\n\n  The regulator plans to order the company to rectify or cease such activities, confiscate illegal gains, and impose fines. The total proposed penalty is worth RMB1.85 billion ($271 million). The commission is also proposing to impose a personal fine of RMB1.25 million on Chief Executive Li Hua. \n\n\n  Also on Friday, China's securities regulator said it plans to impose penalties on other online brokerages, Tiger Brokers' New Zealand subsidiary and LongBridge Securities' Hong Kong unit, for trading infractions in the mainland. \n\n\n \n\n\n  Write to Nicholas G. Miller at nicholas.miller@wsj.com. \n\n\n \n\n\n  (END) Dow Jones Newswires\n\n\n  May 22, 2026 09:38 ET (13:38 GMT)\n\n\n  Copyright (c) 2026 Dow Jones & Company, Inc.","kind":"highlight","is_publish_news":true,"is_publish_highlight":false,"is_publish_live":false,"is_publish_wemedia":true,"editions":null,"column":"","sentiment":"0","news_tag":"","news_rank":0,"isVideo":false,"video":null,"symbols":[],"gpt_button":0,"need_auth":true,"need_login_tip":false,"code":"91000000","status":"200"}}}