Chairman moves 74.93% of China Graphene (0063) from Zhongtai to ABCI
Webb-site.com, 13-Dec-2017
According to filings, the shares were pledged on 14-Dec-2016 to Zhongtai Dingfeng Classified Fund SP, managed by Zhongtai International Asset Management Ltd. Almost a year later, perhaps they have just been repledged to a different lender. Chairman Li Feng Mao holds the shares via HK Guoxin Investment Group Ltd. ABCI is wholly-owned by Agricultural Bank of China (1288).
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Roger Tsui Chi Fung banned for 9 months for providing false information to SFC
SFC, 26-Aug-2014
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Former licensee convicted of providing SFC false or misleading information
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
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SFC reprimands Mr Chan Sum Kiu for failure to verify a client's identity
SFC, 30-Oct-2003
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SFC revokes registration of Peggy Kuo Wai Lan
SFC, 20-Jul-1999
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Action against CAF Securities Ltd & directors
SFC & SEHK, 24-Jun-1998
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SFC reprimands Mr Mak Wing Tak and Ms Peggy Kuo Wai Lan for short-selling
SFC, 12-Mar-1998
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SFC prosecutes short-selling and unregistered dealing at CAF Securities