SFC censures CLSA, CITIC Securities Brokerage and Beijing Enterprises (0392) and various staff
SFC, 30-Dec-2019
For pre-arranging share buybacks and then passing them through the market, in effect preventing other shareholders from participating in the "on-market" buybacks.
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People
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Judge orders confiscation of HK$111m from ex-warrants trader
ICAC, 07-May-2018
If Raymond Ng Chun To doesn't pay up, his jail sentence will triple from 4.5 to 13.5 years.
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People
SFC fines CLSA HK$9m for internal control failures
SFC, 13-Mar-2018
CLSA had been co-mingling agency execution and client facilitation trading for 30 years since 1986.
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Raymond Ng Chun To jailed 4.5 years for warrant-trading fraud
ICAC, 30-Jan-2015
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People
Liming Capital Ltd v CLSA Ltd
HK Court of First Instance, 20-May-2010
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People
Francois Maurice Pierre Weber v Jackie Yeung Hei Kwan
HK Court of First Instance, 18-Feb-2010
Were these people dealing in securities within the meaning of the Securities and Futures Ordinance? We could not find them in the SFC licensee register. What was their relationship, if any, to CLSA Ltd, which managed the HK$2bn Amax (0959) placing in 2007?
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People
SFC reprimands CLSA Ltd
SFC, 20-May-2004
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People
SFC suspends Mr Howel G R Thomas of CLSA for 3 months for conducting manipulative orders & misleading client
SFC, 23-Feb-2004
When you fall into a hole, don't try to dig your way out!
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SFC revokes registration of Mr Yeung Tsz Chung, ex-CLSA Ltd, for theft
SFC, 07-Apr-2003
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People
CLSA's Pioneering Work
Webb-site.com, 10-Jul-2001
By kind permission of CLSA Emerging Markets, Webb-site.com makes available for our readers their ground-breaking report, "Saints & Sinners", which includes corporate governance ratings of 495 stocks in their core coverage of 25 emerging markets. And if you are a CLSA client, find out more about our work in a global series of presentations hosted by the firm next week. Read on...