SFAT affirms SFC decision to ban Mr Zhang Xiaoming for 1 year for false trading
SFC, 21-Feb-2011
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Mr Zhang Xiao Ming v SFC
SFAT, 18-Feb-2011
If you've ever wondered how some sponsors get to the required number of public shareholders for a listing, this ruling spells it out. 87 retail "clients" at the Wanchai Branch of ICEA Securities subscribed in the placing of Lang Chao (now Inspur, 0596) and then sold 8,712,000 shares for $0.005 more than the IPO price of $0.36 on the first day, to a company owned by the sponsor. The allotment results showed only 116 placees in total.
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The SFC and prospectus liability
Webb-site.com, 27-Jul-2010
The SFC complained yesterday about deteriorating standards of sponsors' work in listing applications. Some of the blame lies with the SFC for abandoning in 2006 proposals to reform the law on prospectus liability. Until investors can effectively sue for a fraudulent prospectus, creating a stronger deterrent, the situation is unlikely to improve.
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SFC bans Gary Sik Siu Kwan for 4 months
SFC, 05-Jul-2010
Note: the only IPO sponsored by ICEA Capital in 2004 was Lang Chao International Ltd (then 8141, now Inspur International Ltd, 0596).
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SFC bans Mr Chen Wei, formerly of ICEA, for 4 months for misconduct
SFC, 17-Nov-2009
Note: the only IPO sponsored by ICEA Capital in 2004 was Lang Chao International Ltd (then 8141, now Inspur International Ltd, 0596)
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ICEA déjà vu
Webb-site.com, 06-Jun-2008
We look at the latest action by the SFC against ICEA, the second in three years, and also at the complicated structure of state-controlled banking giant ICBC in Hong Kong.
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SFC resolves compliance issues with ICEA Capital Ltd & ICEA Securities Ltd, fines them HK$38m
SFC, 06-Jun-2008
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ICEA pays HK$30m to settle disciplinary case re Euro Asia Agricultural IPO
SFC, 27-Jan-2005
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Sam Mak Kang Hoi v David Ho Yuk Wah
HK Court of First Instance, 12-Nov-2004
"These letters demonstrate the deviousness of the defendant's character".