For taking money from 3 clients and gambling it away on horses and soccer rather than investing it, then issuing dud cheques to one of them.
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 Manesh Vijaykumar Samtani, ex-KGI, for life
SFC, 04-Aug-2014
Orgs
People
SFAT affirms SFC decision to suspend Jenny Chan Pik Ha, ex ICBC
SFC, 10-Jun-2014
Orgs
People
HKSAR v Andy Pau Chin Hung
HK Court of Appeal, 04-Jun-2013
Orgs
People
Ex-KGI staffer jailed for 3 years for accepting HK$1.1m bribes
ICAC, 10-May-2013
See also the SFC's press release of 7-May-2013 with our notes.
Orgs
People
SFC bans Andy Pau Chin Hung for 10 years
SFC, 07-May-2013
The obvious question: which former Chairman of which listed company was Mr Pau helping to dump shares? A 5% commission for secrecy and about $22m of shares were involved. Update: on 10-May the ICAC announced Pau's increased sentence for bribery. The listed company was Warderly (0607). It does not name the former Chairman, Yeung Kui Wong, but a middle-man, Derrick Luu Hung Viet. Disclosures show that Yeung sold 30m shares @$0.415 to Luu on 21-Mar-2007 and 20m shares off-market on 16-Apr-2007 @$0.455.
Orgs
People
KGI Futures (HK) Ltd v Christine Li Kar Huen
HK Court of First Instance, 26-Feb-2013
Orgs
People
Ex-KGI staff guilty of accepting HK$1.1m bribes
ICAC, 10-May-2012
Orgs
People
Ex-staff of KGI Hong Kong Ltd charged with accepting HK$1.1m bribes
ICAC, 28-Oct-2011
Orgs
People
KGI representatives suspended for conducting personal trading in secret
SFC, 08-Feb-2011
Orgs
People
SFC suspends KGI's Portia Liu Kit Ching for 9 months
SFC, 28-Dec-2010
Orgs
People
SFC tackles secret accounts and bans Mr Yeung Hon Fat, ex-KGI Asia, for life
SFC, 30-Jul-2007
Orgs
People
SFC suspends Mr Frank Ko Ka Keung for 2 months for deceiving employer in account opening
SFC, 28-Jan-2004
Orgs
People
SFC suspends Ms Sendy Siu So Fun for 3 weeks for facilitating unregistered dealing