SFC issues restriction notice on a client account at CICC
SFC
SFC, 08-Dec-2023
The SFC suspects insider dealing in an unnamed stock. Webb-site can tell you that the stock is 360 Ludashi Holdings Ltd (3601), deduced from the Notice published in the Gazette on 15-Dec, and the amount frozen is HK$9.57m.
機構
SFC bans Ms Sun Yiding for 8 months
SFC
SFC, 19-Dec-2022
For operating an external brokerage account, in which she conducted 829 trades worth HK$47.4m in a year, including 3 stocks on a Restricted List, without disclosure or pre-clearance.
機構
人物
SFC bans Mr Xu Tao, ex-CICC, for 4 months
SFC, 11-Oct-2017
For taking stockbroking orders by WeChat.
機構
人物
Poon Ming Pui fined HK$10k
HKICPA, 15-Dec-2015
This is a follow-on from an SFC action.
機構
人物
SFC bans Mr Poon Ming Pui, ex-Yuanta & CICC, for 10 months
SFC, 13-Jan-2014
機構
人物
Ping An: not the whole picture
Webb-site.com, 15-Mar-2011
We look behind last night's shock placing by Ping An Insurance to tycoon Cheng Yu Tung, and call for a full explanation from the issuer.