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.
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SFC fines Chang Chyi of Core Pacific - Yamaichi HK$50k
SFC, 06-Jan-2017
No, clients cannot sell rights shares until the rights issue has become unconditional, even if settlement will be 2 days after that.
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People
SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
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People
SFC bans Wong Sze Yiu, ex-Core Pacific-Yamaichi, for 6 months
SFC, 26-Oct-2015
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People
SFC reprimands Core Pacific-Yamaichi International (H.K.) Ltd
SFC, 12-May-2011
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SFC suspends Mak Kan Long for 4 months
SFC, 13-May-2010
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People
SFC suspends Mr Yeung Ching Kwong for 9 months
SFC, 01-Feb-2010
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People
SFC bans Mr Lin Ko Ming for 7 years
SFC, 05-Oct-2009
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People
SFC suspends Mr Ho Leuk Ming for 4 months
SFC, 16-Apr-2009
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People
SFC bans Mr Ku Kam Lung for 9 months
SFC, 27-Oct-2008
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People
SFC fines Core Pacific-Yamaichi HK$6.45m
SFC, 17-Apr-2008
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Topics
10-month suspension for Mr Kenneth Luk Kam Kwong
SFC, 08-Jan-2008
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People
SFC suspends Mr Lau Wai Lun for 15 weeks for client account failings
SFC, 28-Jul-2004
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People
SFC suspends Ms Sy Pan Pan for 3 months for account opening failings
SFC, 28-Jul-2004
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People
SFC reprimands Core Pacific-Yamaichi International (HK) Ltd for losing client agreements
SFC, 06-Apr-2004
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SFC reprimands Mr Jimmy Mak Chun Sang
SFC, 28-Jun-2001
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People
SFC reprimands Mr Alex Lee Ming Yin
SFC, 28-Jun-2001
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People
SFC prosecutes David Cheung Hon Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 09-Jun-2000
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People
SFC prosecutes Chan Yiu Lun for unregistered dealing at Core Pacific-Yamaichi
SFC, 28-Mar-2000
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People
SFC suspends Ms Hui Shan Shan, ex-Core Pacific Yamaichi, for 4 months for reckless recommendations
SFC, 10-Feb-2000
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People
SFC prosecutes Lo Ming Chung for unregistered dealing
SFC, 14-Dec-1999
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People
SFC prosecutes Cheung Chi Ming & Foo Kwok Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 23-Nov-1999
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People
SFC reprimands Mr Tsui Moon Kwong of Core Pacific-Yamaichi for front-running and naked short-selling in girlfriend's account
SFC, 21-Oct-1999
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People
Topics
SFC revokes registrations of Neil Chia for unauthorised trading of client account