SFC updates freeze on shares of New Ray Medicine (6108) held by ex-Chairman Mr Zhou Ling
HK Gazette, 08-Mar-2024
His shares were moved on 5-Jan-2024 from custody of China Gather Wealth Financial Co Ltd to Minerva Holding Financial Securities Ltd following closure of the former's brokerage business.
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SFC sues New Ray Medicine (6108) and its former top executives
SFC
SFC, 30-Nov-2020
NRM is a company in our "Enigma Network".
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A New Ray of light on an Enigma Network case
Webb-site.com, 26-Oct-2020
A decision quietly posted on the SFAT website reveals that Zhou Ling, ex-Chairman of New Ray Medicine (6108) is suspected by the SFC to have committed "misconduct and obtained secret profits from certain transactions" by NRM. Earlier gazetted Restriction Notices on a client at 2 brokers now make sense - the SFC has reduced disclosure in that area so much as to make the publication meaningless.
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SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct
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SFC, 14-Aug-2020
There's no disclosure of the listed company involved. Our database records that both of the brokers acted as placing agents to companies in the "Enigma Network" up to 2016. The brokers are not under investigation, but an individual client is suspected of breaching his duties to a listed company. The Notices are remarkably brief, no longer referring to a "Statement of Reasons", which the SFC has stopped publishing anyway, probably because we kept figuring out the identities of persons involved. The "specified amount" involved is not disclosed either.
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Power Securities Co Ltd v Checkley Sin Kwok Lam & others: costs
HK Court of First Instance, 11-Mar-2020
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Power Securities Co Ltd v Checkley Sin Kwok Lam & others
HK Court of First Instance, 05-Dec-2019
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Re: Best Year Enterprises Ltd - winding up
HK Court of First Instance, 24-Jun-2019
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Power Securities Co Ltd v Best Year Enterprises Ltd
HK Court of First Instance, 20-Jun-2019
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Tai United 'unaffected by ICAC'
HK Standard, 26-Jul-2018
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Former First Credit boss sues after discount sale
HK Standard, 25-Jul-2018
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Enigma member Jun Yang (0397) terminates Kenny Tang Sing Hing as MD of SFC-licensed subsidiaries
Company announcement, 12-Dec-2017
This is "in light of his unsatisfactory performance that is not aligned with the Group's plans to strengthen and expand the offerings of regulated activities by the Group". But Jun Yang is keeping him as Executive Director and Vice Chairman and as a director of the subsidiaries.
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Great Wall Pan Asia International Investment Co Ltd v Matthew Yeung Wing Yan
HK Court of First Instance, 01-Jun-2016
More information on the Hang Fat Ginseng (0911) stock collapse than you will find in company announcements.
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Bubbles and troubles in Hong Kong
Webb-site.com, 24-Sep-2015
Pour yourself a coffee and digest this long article as we investigate several ongoing abusive "open offers" and placings as well as show you who's been making out in multi-billion-dollar bubbles. We call on regulators and rule-makers to take action.
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Convoy Financial (1019) completes placing
Company announcement, 10-Sep-2015
We note that on the settlement date, 320m net shares were deposited with Jun Yang Securities, about 121m with Astrum Capital Management and about 41m with Win Fung Securities.
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CMGC (8081) completes mega-placing
Company announcement, 21-Aug-2015
We note that none of the shares appear in the CCASS account of the placing agent, Great Roc Capital Securities Ltd. The largest allocations go to CNI Securities, Astrum Capital Management and Jun Yang Securities.
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SFC fines Lucky Securities Co Ltd HK$470k over misappropriation by staffer
SFC, 08-Aug-2007
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SFC bans Mr Wong Ka Chun, ex-Lucky Securities Co Ltd, forever for misappropriating HK$1.2m of clients' assets
SFC, 22-Feb-2007
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1. Action against Prudential-Bache Securities (HK) Ltd and Mr Liu Luk Por. 2. Action against Mr Ho Sau Lok (Lucky Co) and its dealer's representatives