Sanction of Shanghai Henlius Biotech (2696) and ex-CEO Scott Liu Shi Kau
SEHK, 02-Sep-2025
For diverting all of the proceeds of the IPO Placing arranged by AMTD Global Markets (now oOo Securities) into an "investment management agreement" under AMTD.
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SFC commences legal proceedings against AMTD Global Markets Ltd and its former executives for non-compliance in IPO-related investigations
SFC
SFC, 23-Nov-2023
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人物
Censure of China Bright Culture (1859) and Mr Liu Mu; criticism of Mr Xia Rui
SEHK, 21-Nov-2022
For diverting most of the IPO proceeds into a promissory note arranged by AMTD Global Markets Ltd, which was a Joint Global Coordinator of the IPO. The note was issued by L.R. Capital Property Investment Ltd, which was "affiliated" with AMTD, although the Exchange doesn't say how.
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Investment bank behind 32,000% IPO probed by SFC
Bloomberg, 18-Aug-2022
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China Bright Culture (1859): further details of the AMTD investment, and termination thereof
Company announcement, 03-Sep-2021
It now emerges that the money "managed" by AMTD was invested in a promissory note issued by L.R. Capital Property Investment Ltd, the owner of which it fails to disclose.
機構
Censure of IntelliCentrics (6819) and 2 EDs
SEHK, 29-Jun-2021
For diverting almost all of its net IPO proceeds on 27-Mar-2019, the day of listing, into promissory notes issued by offshore companies via AMTD Global Markets Ltd, without evening knowing who owned the companies. AMTD was one of the IPO Joint Bookrunners. We know that one of the borrowers, Ariana Capital Investment Ltd, is or was owned by Andrew Chiu, who became a Vice Chairman of AMTD International Inc (parent of AMTD Global Markets Ltd) in Dec-2019.
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China Bright Culture (1859): we put most of our IPO cash into a 2-year asset management deal with AMTD and failed to announce it, breaching Listing Rules
Company announcement, 28-Aug-2020
We note that AMTD Global Markets Ltd was a Joint Global Coordinator of the IPO. In 2019, AMTD struck a similar deal with another IPO client, IntelliCentrics (6819), which was belatedly announced on 19-May-2020.
機構
IntelliCentrics (6819): we put our IPO proceeds into promissory notes arranged by AMTD Global Markets Ltd and didn't announce it, breaching Listing Rules
Company announcement, 19-May-2020
AMTD Global Markets Ltd was a Joint Global Coordinator in the IPO. We know that one of the borrowers, Ariana Capital Investment Ltd, is or was owned by Andrew Chiu, who became a Vice Chairman of AMTD International Inc (parent of AMTD Global Markets Ltd) in Dec-2019.
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Ex-UBS banker's parents bought Into China IPOs he helped arrange
Bloomberg, 31-May-2017
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Hiding behind the cornerstones
Webb-site.com, 03-Oct-2016
Webb-site reveals that investors who took 31% of a bank IPO had secretly laid off their risk by issuing derivatives to a mainland property developer from the same city, via two HK-listed companies which incidentally are bubble stocks. When we complained, HKEX did not require disclosure of the bank’s identity, thereby preserving the secrecy behind the cornerstone investors which facilitate HKEX’s IPO business. Once again, the regulatory conflict of interest is exposed.
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主題
HK Confederation of Insurance Brokers - member sanctions 2013-2015
HK Confederation of Insurance Brokers, 07-Jan-2016