Court of Appeal says criminal procedures not applicable to SFC disciplinary process
SFC, 29-Nov-2010
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Asser Li Kwok Keung v SFC
HK Court of Appeal, 26-Nov-2010
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Godwin Chu Kwok Shing v SFC: costs
SFAT, 06-Aug-2010
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SFAT affirms SFC decision to suspend Godwin Chu Kwok Shing for trading malpractice
SFC, 05-Jul-2010
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Godwin Chu Kwok Shing v SFC
SFAT, 30-Jun-2010
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SBI, E2 and Xinhua Finance
Webb-site.com, 18-May-2010
We reveal how a mini-investment bank was assembled and injected into two listed companies at great expense to them, then gradually sold off, and how at least some of the SFC-regulated firms came under the ownership of someone who now faces criminal charges in the USA in relation to newsletter stock promotion schemes for companies which include the first Chinese company to list in Japan.
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SFC suspends Asser Li Kwok Keung for 18 months
SFC, 23-Mar-2010
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Asser Li Kwok Keung v SFC
SFAT, 19-Mar-2010
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SFC bans Mr Wong Hong Wah for 3 years
SFC, 25-Feb-2009
He and a colleague were banned on the grounds that the bid orders they entered and later cancelled "may not have been genuine". Orders are binding though - anyone could hit them. Nobody should be entitled to a signal from the order queues, and the SFC should stop encouraging that notion. Buyers and sellers are entitled to mask their intentions by placing orders in the other direction as long as they don't trade with themselves. When computers do it, it is called algorithmic trading. The bids also provided an opportunity to other sellers.
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Alex Wong Mang Chung prosecuted for abetting and counseling a person to mislead the SFC
SFC, 12-Apr-2007
The ex-colleague was Asser Li Kwok Keung
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Asser Li Kwok Keung prosecuted for misleading the SFC