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.
Orgs
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.
Orgs
People
SFC bans Wong Sze Yiu, ex-Core Pacific-Yamaichi, for 6 months
SFC, 26-Oct-2015
Orgs
People
SFC suspends Mr Yeung Ching Kwong for 9 months
SFC, 01-Feb-2010
Orgs
People
SFC suspends Mr Ho Leuk Ming for 4 months
SFC, 16-Apr-2009
Orgs
People
SFC bans Mr Ku Kam Lung for 9 months
SFC, 27-Oct-2008
Orgs
People
10-month suspension for Mr Kenneth Luk Kam Kwong
SFC, 08-Jan-2008
Orgs
People
SFC reprimands Mr Tsui Moon Kwong of Core Pacific-Yamaichi for front-running and naked short-selling in girlfriend's account