SFC suspends Wang Shian-tang, ex-Yuanta Securities, for 26 months
SFC
SFC, 20-Nov-2024
We note that he was formerly named Wang Yi Tang. He had an unauthorised profit-sharing agreement with a discretionary client, and an undisclosed investment account with another broker.
Orgs
People
Chairman Lam Ching Kui moves 70.12% of Wai Chun (1013) to Head & Shoulders from Yuanta
Webb-site.com, 28-Dec-2017
Orgs
People
SFC freezes certain brokerage accounts, suspects manipulation of GME (8188) on listing day
SFC, 30-Aug-2017
The Webb-site CCASS Analysis System shows the net movements of stock on T+2, with Yunata and Caitong showing the largest increase, and Pacific Foundation (the Lead Manager of the IPO) the largest decrease in positions.
Orgs
SFC fines Yuanta Securities (HK) Co Ltd HK$4m for hidden bond mark-ups
SFC, 29-Feb-2016
Comment: if HK had a listed bond exchange then this kind of activity would not be possible, because check prices against on-market transactions.
Orgs
Poon Ming Pui fined HK$10k
HKICPA, 15-Dec-2015
This is a follow-on from an SFC action.
Orgs
People
SFC bans Mr Poon Ming Pui, ex-Yuanta & CICC, for 10 months
SFC, 13-Jan-2014
Orgs
People
Statement on Mr Chin Cheng Sin, ex-Core Pacific Securities Ltd
SFC, 21-Sep-2001
An unusual format not involving a reprimand.
Orgs
People
SFC reprimands Core Pacific Securities International Ltd
SFC, 26-May-2000
Orgs
SFC reprimands Mr Lok Wan Wai, ex-Core Pacific Securities International Ltd