SFC suspends Wang Shian-tang, ex-Yuanta Securities, for 26 months
SFC
SFC, 20-Nov-2024
We note that he was formerly named Wang Yi Tang. He had an unauthorised profit-sharing agreement with a discretionary client, and an undisclosed investment account with another broker.
機構
人物
Chairman Lam Ching Kui moves 70.12% of Wai Chun (1013) to Head & Shoulders from Yuanta
Webb-site.com, 28-Dec-2017
機構
人物
SFC freezes certain brokerage accounts, suspects manipulation of GME (8188) on listing day
SFC, 30-Aug-2017
The Webb-site CCASS Analysis System shows the net movements of stock on T+2, with Yunata and Caitong showing the largest increase, and Pacific Foundation (the Lead Manager of the IPO) the largest decrease in positions.
機構
SFC fines Yuanta Securities (HK) Co Ltd HK$4m for hidden bond mark-ups
SFC, 29-Feb-2016
Comment: if HK had a listed bond exchange then this kind of activity would not be possible, because check prices against on-market transactions.
機構
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
Statement on Mr Chin Cheng Sin, ex-Core Pacific Securities Ltd
SFC, 21-Sep-2001
An unusual format not involving a reprimand.
機構
人物
SFC reprimands Core Pacific Securities International Ltd
SFC, 26-May-2000
機構
SFC reprimands Mr Lok Wan Wai, ex-Core Pacific Securities International Ltd