Former JPMorgan Asia top banker found not guilty of bribery
Reuters, 01-Feb-2021
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Former JPMorgan banker charged with bribery relating to Kerry Logistics IPO appears in court
South China Morning Post, 20-May-2019
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Catherine Leung Kar Cheung, ex-J.P. Morgan MD, charged with bribing chairman of logistics company for IPO
ICAC, 16-May-2019
The first HK charge in the famous "Sons & Daughters" program of J,P. Morgan. We don't know which company, chairman or son was involved or whether JPM got the job. A list of their IPOs is at the link above. Ms Leung is now MD of hedge fund manager Serica Partners Asia Ltd, of which her husband Ivan Lee Chin Leung is founder and CIO.
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SFC fines 2 JPMorgan entities HK$5.6m for regulatory breaches
SFC, 20-Oct-2016
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SFC fines 3 JP Morgan entities total HK$30m
SFC, 15-Dec-2015
Note: there was apparently no actual failure to settle the 41,000 uncovered short sales (for which the firm held long positions in other legal entities), nor did any client get a worse price on their agency orders than they could have obtained in the market.
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SFC bans Benjamin Zhu Zhiwei, ex-JP Morgan, for 18 months
SFC, 07-May-2015
Zhu traded CFDs in a friend's account by sending trade instructions to his
friend via his work email address. Not very smart if you are trying to hide your tracks!
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SFC bans Ms Sui Yu for 3 months for regulatory breaches
SFC, 19-Nov-2013
...more than 4 years after the event.
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SFC revokes licence of Edmond Leung Chi Keung and bans him for 10 years
SFC, 11-Jul-2012
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Court of Appeal affirms SFAT’s decision to ban David Tsien Pak Cheong for insider dealing
SFC, 14-Jun-2011
The SFC loses in its attempt to reinstate a lifetime ban after the SFAT reduced it to 10 years.
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David Tsien Pak Cheong v SFC
HK Court of Appeal, 14-Jun-2011
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David Tsien Pak Cheong v SFC: costs
SFAT, 18-Feb-2011
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SFAT affirms SFC decision to ban David Tsien Pak Cheong for insider dealing
SFC, 28-Sep-2010
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Li & Fung/IDS offer has sting
Webb-site.com, 24-Sep-2010
The all-or-nothing nature of the share alternative, now worth 23% more than the cash offer, means that CCASS, which holds almost all the public shares in IDS, cannot offer the share alternative to its participants. Webb-site urges Li & Fung and IDS to amend the scheme to allow registered holders to make partial elections for shares. Otherwise, if you snooze, you lose.
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David Tsien Pak Cheong v SFC
SFAT, 22-Sep-2010
"We are satisfied that prohibition for life in the present case is manifestly excessive".
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MMT & IDT submit reports on COLI & Harbour Ring insider dealing cases
HK Government, 18-Sep-2009
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MMT report on insider dealing in COLI shares, Part 1