SFC fines Mr Chung Tung Sau, ex-China Tonghai Securities, HK$60k, suspends him for 7 months
SFC
SFC, 15-Dec-2022
For front-running a client's order from 1-11 Aug-2017. Our records indicate that he left China Tonghai (then known as Quam) on 31-Aug-2017 and joined Zhongtai International Securities on 24-Oct-2017, ceasing to represent them the day before this announcement.
FingerTango (6860) buys 16,692,000 shares (1.41%) of China Gas Industry Investment (1940) for HK$67.88m
Company announcement, 15-Mar-2021
The average price of $4.00 per share is 192% above the IPO at $1.37 before listing under 3 months ago. The Webb-site CCASS Analysis System indicates that FingerTango used China Tonghai Securities and nearly all the shares came from Sorrento Securities.
机构
SFC freezes accounts at 15 brokers in suspected social media pump & dump
SFC
SFC, 15-Mar-2021
Can anyone guess the stock?
机构
主题
SFC freezes accounts in suspected social media pump & dump
SFC
SFC, 18-Feb-2021
They don't name the stock, but Webb-site can tell you it's probably Macau E&M (1408) which listed at $1.00 on 11-Sep-2020 and closed at $4.36 on 25-Nov-2020 before crashing 81.9% the next day. See the movements in our CCASS Analysis System.
For discretionary dealing for 7 years without the client's written authorization. It apparently took the broker that long to notice.
机构
人物
SFC bans Katherina Lo Ka Shun, ex-Quam, for 2 years
SFC, 25-Feb-2015
机构
人物
SFC suspends Stephen Cho Yu Kwan for 3 years and fines Ju You Li HK$100k
SFC, 25-Nov-2013
The statement alludes to how underground "money changers" collect RMB deposits in the mainland and then cause HKD to be deposited in HK, evading the PRC capital controls.
机构
人物
SFC suspends Sky Cheung Shi Gaii for 30 months and fines him HK$0.5m
SFC, 08-Apr-2013
机构
人物
One year's jail for HK$600k sub-underwriting commissions fraud
ICAC, 18-Sep-2012
机构
人物
Billion Global Asset Management and its director convicted of unlicensed activities
SFC, 06-Sep-2011
The company is now known as HR Marketing Consultants Limited.
机构
人物
SFC fines Quam Securities Co Ltd HK$1m and Mr Calvin Chiu Chun Kit HK$0.3m over internal controls
SFC, 19-May-2011
机构
人物
Ex-Quam Securities director charged with $600k sub-underwriting commissions fraud
ICAC, 03-Mar-2011
机构
人物
SFC suspends Mr Wong Ho Fei for 3 months for misconduct
SFC, 04-Feb-2008
机构
人物
SFC suspends Mr Kenny Ho Yui Kwong for 6 months for misleading the SFC