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.
機構
主題
SFC bans Ms Luo Jianglan, ex-JP Morgan, for 6 months
SFC, 11-Mar-2015
機構
人物
Ricky Li Kwok Wah v SFC
SFAT, 14-Oct-2008
機構
人物
SFAT upholds SFC decision to revoke licence of Ricky Li Kwok Wah for front-running
SFC, 12-Sep-2008
機構
人物
主題
SFC revokes licence of Leo Wong Shu Cheung for front-running
SFC, 04-Sep-2008
機構
人物
主題
SFC revokes licences of Mr Chung Yu Kit & Mr Ding Lai Leung, fines Ding HK$128k for front-running