For discretionary dealing in 2 clients' accounts for 7 years without written authorisation.
Orgs
People
SFC bans Vincent Ng Lok Kan, ex-SHK Investment Services, for 30 months
SFC, 02-Oct-2019
Orgs
People
SFC bans Ma Yu Lung, ex-SHK & Co, for 8 years
SFC, 26-Jan-2017
In a devious scheme, Mr Ma got two account holders to place orders that were really coming from third parties, whose names Mr Ma says he cannot recall. Reading between the lines, the SFC was probably investigating suspected market manipulation. The events in question took place almost 7 years ago, but he was licensed to SHK until June 2013.
Orgs
People
SFC bans Esther Lee Ying Chih for three years
SFC, 09-Aug-2012
Orgs
People
SFC bans Edmond Chau Chin Hung for life and fines him HK$2m
SFC, 28-Jan-2010
Orgs
People
Topics
Investment consultant jailed for fraud
South China Morning Post, 02-Dec-2008
Orgs
People
SFC bans Mr Poon Ting Kei forever
SFC, 08-Jan-2008
Orgs
People
SFC suspends Ms Angel Wong Yuen Sze for unlicensed dealing and Ms Julie Lo Po Wah for aiding and abetting her
SFC, 31-Oct-2005
Orgs
People
SFC suspends Mr Ho Kwan Kit for accepting suspicious orders
SFC, 24-Mar-2005
Orgs
People
Topics
SFC suspends Mr Cheng Wai Shan for 6 months for deceiving employer in account opening and facilitating unauthorised trades
SFC, 24-Dec-2004
Orgs
People
Mr Cheng Wai Shan v SFC
SFAT, 23-Dec-2004
Suspension reduced from 9 to 6 months due to over-egging of pudding by SFC.