SFC fines Glory Sun Securities Ltd HK$1.2m, suspends current and former ROs
SFC, 15-Jul-2019
The firm is a partly-owned subsidiary of Glory Sun Financial (1282). The firm's controls were ineffective to prevent naked short-selling by an account executive, Hui Kwok Piu.
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SFC suspends Hui Kwok Piu for 16 months for naked short selling
SFC, 15-Jul-2019
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Mr Hui Kwok Piu of China Goldjoy Securities convicted and fined for illegal short selling of Coslight (1043)