SFC withdraws Restriction Notice to broker over client's suspected insider dealing after obtaining court order to freeze assets
SFC
SFC, 19-Nov-2024
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SFC obtains court order to freeze assets of suspected insider dealers of I.T (ex-0999) shares
SFC
SFC, 02-May-2023
Ms Tsang Ching Yi is suspected to have tipped off Barry Kwok Sze Lok about the impending privatisation of I.T in 2021, learned from her work at an unnamed investment bank, netting a profit of HK$4.1m. We note that a person of her name was briefly licensed at Morgan Stanley Asia Ltd in 2005 and may have continued to work there. That firm was the Financial Adviser to the offeror in the privatisation.
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SFC freezes broker client account linked to suspected insider dealing
SFC
SFC, 17-Aug-2022
According to the Restriction Notice, the client of Bright Smart Securities is suspected of dealing on inside information obtained from a person connected to an unnamed listed corporation.
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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 Morgan Stanley Asia Ltd HK$224m for sponsor failures
SFC, 14-Mar-2019
The firm jointly sponsored Tianhe Chemicals (1619) in 2014, with UBS and Merrill Lynch. Notably this announcement doesn't mention any human at MS as being responsible - perhaps that will follow later.
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SFC recovers HK$23m for investors from restoration orders against insider dealer Du Jun
SFC, 18-Aug-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 bans Christopher Ma Chun Leung & Wong Man Chung, ex-Morgan Stanley
SFC, 09-Jun-2014
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Restoration order against former banker Du Jun finalised
SFC, 14-Jan-2014
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SFC orders Du Jun to pay HK$23.9m to some investors
SFC, 12-Dec-2013
This is the first restoration order for insider dealing. We question the fairness of the allocation though. 297 sellers whose orders just happened to be matched with his, during an 11-week period in which he bought 26.7m shares, will get about $0.90 per share - even though some of them may have been net buyers during the period. The whole market was unaware of the good news, and anyone who sold shares during that period, when volume was 1844m shares, but not to Mr Du, gets nothing. That turns the payout into a lottery with about a 1 in 69 chance of success.
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SFC bans Calvin Ho Kei Him for 14 months
SFC, 12-Mar-2013
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SFC bans Du Jun forever
SFC, 04-Mar-2013
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Former Morgan Stanley banker throws in his criminal towel
SFC, 02-Jan-2013
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Court varies interim injunction in SFC’s action against Du Jun
SFC, 05-Oct-2012
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Court of Appeal upholds Du Jun’s insider dealing convictions
SFC, 20-Sep-2012
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HKSAR v Du Jun
HK Court of Appeal, 20-Sep-2012
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SFC fines three UBS employees HK$1.8m
SFC, 02-Jun-2010
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Ex-Morgan Stanley banker jailed for 7 years for insider dealing
SFC, 18-Sep-2009
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Former Morgan Stanley investment banker guilty of insider dealing
SFC, 10-Sep-2009
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SFC suspends Ms Lillian Liu Yaying for 6 months
SFC, 17-Aug-2009
The other bank was UBS AG.
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Former investment banker Mr Du Jun arrested and charged with insider dealing
SFC, 11-Jul-2008
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SFC bans Ms Wang Pei Ying for 2 years for unauthorised trading and false client statements
SFC, 21-Dec-2007
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Former Vice President of Morgan Stanley Dean Witter Asia Ltd charged for allegedly soliciting $2m bribe