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Public Disciplinary Actions
SFC restricts accounts at 14 brokers for suspected manipulation of Smartac (0395)
SFC, 25-Jun-2019
Orgs
SFC suspends David Hui Lam Chiu, ex-Guoyuan Securities, for 6 months
SFC, 22-May-2017
He is now accredited to SSIF Securities Ltd and SSIF Asset Management Ltd.
Orgs
People
SFC fines Guoyuan Securities Brokerage (HK) Ltd HK$4.5m for breaches of AML guidelines
SFC, 05-Apr-2017
Orgs
Topics
Duncan Chui Tak Keung v MMT & Financial Secretary
HK Court of Appeal, 29-May-2013
Orgs
People
MMT submits reports on dealings in Sino Katalytics (now Capital VC, 2324) shares
HK Government, 17-Aug-2012
Orgs
People
Final MMT report on Sino Katalytics (now Capital VC, 2324)
Market Misconduct Tribunal, 16-Aug-2012
Orgs
People
Duncan Chui Tak Keung & Peter Yau Chung Hong found culpable of false trading, price-rigging & market manipulation
Market Misconduct Tribunal, 09-Jul-2012
Orgs
People
Topics