A number of sources recently revealed that in August, the Hong Kong Securities Regulatory Commission visited Huatai Financial Holdings' office in Hong Kong's Central Center to investigate, and some employees were questioned. The reason for the investigation is that the securities company's specific customer transactions may be related to the US stock options trading incident between Futu Holdings and Tiger Securities in May of this year. On the evening of September 4, people close to Huatai Financial Holdings said that the Hong Kong Securities Regulatory Commission's investigation had nothing to do with the company; it only involved individual customers. Unlike the mainland securities trading system, regulators in the Hong Kong market cannot “see through” the trading behavior of securities company customers from the exchange. Therefore, investigating the improper trading behavior of brokerage customers usually requires the cooperation of brokerage firms. At least two sources said that while the Hong Kong Securities Regulatory Commission went to the Hong Kong office of Huatai Financial Holdings to investigate, some wealth management department personnel were questioned, and Huatai Financial Holdings CEO Wang Lei was also asked to cooperate with the investigation.

A number of sources recently revealed that in August, the Hong Kong Securities Regulatory Commission visited Huatai Financial Holdings' office in Hong Kong's Central Center to investigate, and some employees were questioned. The reason for the investigation is that the securities company's specific customer transactions may be related to the US stock options trading incident between Futu Holdings and Tiger Securities in May of this year. On the evening of September 4, people close to Huatai Financial Holdings said that the Hong Kong Securities Regulatory Commission's investigation had nothing to do with the company; it only involved individual customers. Unlike the mainland securities trading system, regulators in the Hong Kong market cannot “see through” the trading behavior of securities company customers from the exchange. Therefore, investigating the improper trading behavior of brokerage customers usually requires the cooperation of brokerage firms. At least two sources said that while the Hong Kong Securities Regulatory Commission went to the Hong Kong office of Huatai Financial Holdings to investigate, some wealth management department personnel were questioned, and Huatai Financial Holdings CEO Wang Lei was also asked to cooperate with the investigation.