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 Celestial Commodities & Celestial Securities HK$6.3m for mishandling client money
SFC, 10-Jul-2019
Both are owned by Cash Financial Services (0510).
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MMT finds ex-CEO of SuperRobotics (8176) and 2 others culpable of market manipulation
Market Misconduct Tribunal, 07-Aug-2018
That was 3 name changes ago, in 2009. None of the 3 actively defended themselves, 1 sending a lawyer's letter from Taiwan and another claiming she was too depressed to instruct a lawyer, a claim which the MMT rejected. We wait to see what sanctions will be determined. The report covers the funds flow in detail, involving concerted trading between 2 groups of accounts which the MMT finds were funded and coordinated by Samantha Keung.
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People
SFC suspends Mr Chan Hung Nin of Celestial for 15 months
SFC, 08-Aug-2014
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People
HKSAR v Ma Sin Chi & Ha But Yee: sentencing
HK Court of First Instance, 09-Dec-2013
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People
SFC fines Mr To Kei Ming of Celestial Securities Ltd HK$90k
SFC, 26-Sep-2011
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SFC fines broker Karl Wu Kin Chung HK$40k for breaching telephone recording requirement
SFC, 14-Sep-2011
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People
Tsang Wah Nam v SFC
SFAT, 20-Jan-2010
A representative of a brokerage loses his appeal to retain his licence during personal bankruptcy.
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People
SFC bans Mr Yip Kim Wah from ever re-entering the industry.
SFC, 19-May-2009
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Life ban for Mr Lee Kin Hang for abusing client assets
SFC, 21-Jul-2008
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People
SFC suspends Mr Alex Mak Ka Bo for 6 months for misleading SFC investigation
SFC, 20-Dec-2007
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People
SFC suspends Mr Wong Chung of Celestial Securities Ltd for 3 months
SFC, 17-May-2007
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People
SFC prosecutes Alex Mak Ka Bo and Angela Yip Kit Yin for misleading SFC
SFC, 10-Aug-2006
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People
SFC fines Celestial Securities Limited HK$21k and Mr Horace Kwan Pak Leung HK$7k for internal control failures
SFC, 20-Jul-2006
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People
Mr Lee Siu Hung surrenders licences for at least 5 months for providing false information at SFC interview
SFC, 19-Jun-2006
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People
SFC suspends Mr Chan Ho Yin for 15 months for breaches of Code of Conduct
SFC, 15-Jun-2006
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People
SFC's action against Mr Douglas Yu Kim Ho for facilitating unlicensed dealing
SFC, 17-Feb-2005
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People
SFC suspends Ms Wong Bo Chu, ex-Celestial, for 6 months for trading in black market HSI Futures Contracts
SFC, 20-Jul-2001
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People
SFC revokes registrations of Mr Chau Tat Ming for abuse of client assets
SFC, 15-Mar-2001
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People
SFC suspends Ms Wong Wing Hing of Celestial Securities Ltd for 1 month
SFC, 08-Jul-1999
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People
Cheerful Securities inquiry result; reprimand of Mr Chee Jing Yin & Mr Lee Yiu Sun
SFC, 25-Jun-1999
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People
SFC prosecutes Wong Siu Chin, Lai Kam Hung, Poon Chun Keung and Wai Yuk Chun for short selling