SFC takes Tianhe Chemicals and CEO Wei Xuan to Market Misconduct Tribunal and to court to seek compensation orders for investors
SFC
SFC, 07-Sep-2020
The stock last traded in 2015 and was delisted on 11-Jun-2020. The MMT notice is dated 19-Jun-2020 but was not announced until now.
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SFC fines Merrill Lynch HK$128m for sponsor failures
SFC, 14-Mar-2019
On the Tianhe Chemicals (1619) IPO in 2014. Notably no human at ML is named as responsible for the failings - perhaps that will come later. ML scores a lower fine than fellow sponsor Morgan Stanley at HK$224m for the same deal. UBS scored HK$375m, but that was for a hatrick of listing applications.
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主題
SFC fines Merrill Lynch firms HK$15m over internal control failures
SFC, 24-Mar-2017
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SFC fines Merrill Lynch Far East Ltd HK$2m for futures position limit breach
SFC, 01-Apr-2015
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AP investigation on Tianhe Chemicals (1619)
Associated Press, 14-Nov-2014
Note: the IPO actually had 3 sponsors: Morgan Stanley, UBS and BofA Merrill Lynch.
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SFC reprimands Benny Chong Tin Lung for misconduct
SFC, 01-Apr-2003
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人物
SFC reprimands Michael Yau Cheuk Hong for improperly allowing a third party to place orders for his clients
SFC, 26-Feb-2003
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SFC takes action against Merrill Lynch (Asia Pacific) Ltd & Merrill Lynch Far East Ltd