SFC suspends Johnnie Chan Wai Chow for 4 weeks & reprimands Lei Shing Hong Securities Ltd & Susanna Lau Shun King over internal controls
SFC, 13-Oct-2003
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SFC takes action against Leung Wing Fai and suspends Mr George Ho Chu Ming and Mr Heng Hian Mok
SFC, 28-Jan-2003
The 3 brokers at 3 different firms were involved in providing the required 100 placees of 33 issues of derivative warrants using "some 30" discretionary accounts each and then selling them back to the issuer the next day.
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SFC prosecutes Mr Heng Hian Mok, ex-Lei Shing Hong Securities Ltd, for naked short selling