For taking money from 3 clients and gambling it away on horses and soccer rather than investing it, then issuing dud cheques to one of them.
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SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
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SFC bans Manesh Vijaykumar Samtani, ex-KGI, for life
SFC, 04-Aug-2014
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SFAT affirms SFC decision to suspend Jenny Chan Pik Ha, ex ICBC
SFC, 10-Jun-2014
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HKSAR v Andy Pau Chin Hung
HK Court of Appeal, 04-Jun-2013
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Ex-KGI staffer jailed for 3 years for accepting HK$1.1m bribes
ICAC, 10-May-2013
See also the SFC's press release of 7-May-2013 with our notes.
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SFC bans Andy Pau Chin Hung for 10 years
SFC, 07-May-2013
The obvious question: which former Chairman of which listed company was Mr Pau helping to dump shares? A 5% commission for secrecy and about $22m of shares were involved. Update: on 10-May the ICAC announced Pau's increased sentence for bribery. The listed company was Warderly (0607). It does not name the former Chairman, Yeung Kui Wong, but a middle-man, Derrick Luu Hung Viet. Disclosures show that Yeung sold 30m shares @$0.415 to Luu on 21-Mar-2007 and 20m shares off-market on 16-Apr-2007 @$0.455.
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KGI Futures (HK) Ltd v Christine Li Kar Huen
HK Court of First Instance, 26-Feb-2013
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Ex-KGI staff guilty of accepting HK$1.1m bribes
ICAC, 10-May-2012
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Ex-staff of KGI Hong Kong Ltd charged with accepting HK$1.1m bribes
ICAC, 28-Oct-2011
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KGI representatives suspended for conducting personal trading in secret
SFC, 08-Feb-2011
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SFC suspends KGI's Portia Liu Kit Ching for 9 months
SFC, 28-Dec-2010
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SFC tackles secret accounts and bans Mr Yeung Hon Fat, ex-KGI Asia, for life
SFC, 30-Jul-2007
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SFC suspends Mr Frank Ko Ka Keung for 2 months for deceiving employer in account opening
SFC, 28-Jan-2004
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SFC suspends Ms Sendy Siu So Fun for 3 weeks for facilitating unregistered dealing