SFC fines China Industrial Securities International Brokerage Ltd HK$3.5m for internal control failures
SFC
SFC, 22-Aug-2023
The broker is owned by China Industrial Securities (6058).
Orgs
SFC issues restriction notices to 10 brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam
SFC
SFC, 25-Apr-2023
The subsequent Gazette notices reveal that the stock involved is Grand Talents (8516). We calculate that the total amount frozen across 10 brokers is HK$379m.
Orgs
Topics
SFC freezes accounts in suspected social media pump & dump
SFC
SFC, 18-Feb-2021
They don't name the stock, but Webb-site can tell you it's probably Macau E&M (1408) which listed at $1.00 on 11-Sep-2020 and closed at $4.36 on 25-Nov-2020 before crashing 81.9% the next day. See the movements in our CCASS Analysis System.
Orgs
SFC fines Mr Wu Hon Cheung HK$50k
SFC, 09-Jan-2018
Mr Wu failed to record voice instructions on a recorder, and failed to record order details in a manual trade blotter. He has since moved on from Sun Hung Kai Securities to China Industrial Securities.
Orgs
People
Chairman Lam Ching Kui moves 45.68% of Wai Chun Mining (0660) from China Industrial Securities to Standard Chartered
Webb-site.com, 26-Dec-2017
The move on 22-Dec-2017 comes just 14 days after moving the same amount in the opposite direction. Perhaps there was a 2-week loan secured against the shares.
Orgs
People
Chairman Lam Ching Kui moves 45.68% of Wai Chun Mining (0660) from Standard Chartered to China Industrial Securities on 8-Dec-2017