SFC fines China Everbright Securities (HK) Ltd HK$3.8m for breaches of anti-money laundering requirements
SFC
SFC, 16-Jun-2022
機構
Court finds trio engaged in insider dealing in TeleEye (8051) shares
SFC
SFC, 10-Nov-2021
機構
人物
主題
SFC fines China Everbright Securities (HK) Ltd HK$2.5m
SFC
SFC, 29-Sep-2020
For pledging client securities as collateral for its own credit line from 3 banks in HK.
機構
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.
機構
人物
主題
SFC bans Koo Yiu Chee for 8 months
SFC, 11-Sep-2013
機構
人物
SFC fines China Everbright Securities (HK) and its RO HK$1.6m
SFC, 11-Apr-2013
Mr X was later identified by the SFC as Mr Koo Yiu Chee.
機構
人物
Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
機構
人物
Value Divergence
Webb-site.com, 21-Sep-2009
We look at the strange events at Value Convergence (0821) where Melco (0200) is selling its controlling stake at $1.92 before a massive dilutive CB issue at $1.00, a third of which is going to China Fortune (0290). Shareholders should vote against the bond issue, and bond subscribers and their associates should be prohibited from voting any shares they hold.
機構
人物
SFC suspends Ms Ho Yuk Kuen for 6 months and Mr Kan Tsang Fu for 4 months
SFC, 20-Dec-2007
機構
人物
主題
Mr Evens Fung Kwing Lau v SFC
SFAT, 16-May-2006
機構
人物
SFC suspends Mr Lo Kwok Sun for 1 month for not promptly executing clients' trades