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 bans Song Peng, ex-Phillip Securities, for 10 months
SFC, 12-Jul-2019
For discretionary trading a client's account without written authorisation.
Orgs
People
SFC bans Poon Kin Lung, ex-Phillip Securities, for 2 years
SFC, 15-Dec-2016
Orgs
People
SFC bans Wong Lap Yin, ex-Phillip Securities, for 3 years
SFC, 01-Aug-2016
Orgs
People
SFC bans Chan Chi Yuen, ex-Phillip Securities, for 18 months
SFC, 13-Oct-2015
Orgs
People
Topics
SFC fines Phillip Securities (HK) Ltd HK$1m for mis-selling
SFC, 16-Jun-2015
Orgs
Ex-Philiip Securities broker & client jailed for bribery
ICAC, 03-Sep-2014
Orgs
People
6 clients of Phillip Securities charged with offering illegal commissions
ICAC, 25-Apr-2014
Orgs
People
Duo Charged for alleged HK$365k bribery over trading in securities
ICAC, 07-Apr-2014
We note that Ms Ching Yim Har was suspended by the SFC for 3 years on 14-Aug-2013.
Orgs
People
SFC suspends Mr Chan Chi Ki of Phillip Securities for 6 months
SFC, 01-Apr-2014
Orgs
People
SFC suspends Stephen Cho Yu Kwan for 3 years and fines Ju You Li HK$100k
SFC, 25-Nov-2013
The statement alludes to how underground "money changers" collect RMB deposits in the mainland and then cause HKD to be deposited in HK, evading the PRC capital controls.
Orgs
People
Mr Chan Chi Yuen, ex-Phillip Securities, convicted of naked short selling
SFC, 31-Oct-2013
Orgs
People
Topics
SFC suspends Ms Ching Yim Har, ex-Phillip Securities (HK) Ltd, for 3 years
SFC, 14-Aug-2013
Orgs
People
SFC bans Ma Tin Luk for 3 years
SFC, 29-Apr-2013
Orgs
People
SFC bans Mr Chow Chun Tung, ex-Phillip Securities (HK) Ltd, for 5 years
SFC, 24-Apr-2013
Orgs
People
SFC suspends Mr Ng Kwok Wing for 6 weeks after naked short-selling conviction
SFC, 04-Mar-2013
Orgs
People
Topics
SFC bans Leung Kau Fung for 9 months
SFC, 07-Nov-2012
Orgs
People
Broker Ng Kwok Wing convicted of illegal short selling
SFC, 25-Oct-2012
Orgs
People
Topics
SFC revokes licence of Paco Ng Kar Lun and bans Adrian Fong Wai Lap for 10 & 3 years
SFC, 13-Feb-2012
Orgs
People
SFC fines Mr Ian So Kwok Wai, ex-Phillip Commodities (HK) Ltd, for improper audit trail
SFC, 19-Dec-2011
Orgs
People
SFC-licensed persons charged with IPO fraud
ICAC, 03-Oct-2011
Orgs
People
Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
Orgs
People
SFC fines Chan Hon Man HK$134,580
SFC, 31-Aug-2010
Orgs
People
Topics
SFC bans Mr Leung Yu Fung from re-entering the industry for life
SFC, 25-Jun-2009
Orgs
People
SFC suspends Mr Chin Man Chung, ex-Phillip Securities, and fines him HK$71,500 for market manipulation
SFC, 20-Aug-2007
Orgs
People
Topics
Public Statement on Mr Leung Wai Shing
SFC, 15-Sep-2005
Orgs
People
SFC suspends Runter Yeung Hok Huen for 1 month for conducting unlicensed activities
SFC, 29-Mar-2005
Orgs
People
SFC prosecutes Ms Wong Lai Sze for unaccredited dealing & Mr Ma Chun Wah and President Securities (HK) Ltd for aiding & abetting her