SFC fines Enlighten Securities HK$5m and suspends RO Denny Kua Kong Chak for internal control failures over securities margin financing
SFC
SFC, 24-Mar-2025
机构
人物
Sanction of Raffles Interior (1376) and 3 directors
SEHK, 12-Dec-2022
Most of the IPO proceeds were quickly diverted into asset management and services which had questionable rationale. Leo Asset Management Ltd is owned by Roma (8072).
机构
人物
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 at 2 brokers in suspected social media pump & dump
SFC
SFC, 09-Feb-2021
The SFC suspects 2 unnamed stocks were manipulated between Mar-Oct-2020. The Restriction Notices target HK$249.5m. This could relate to Skymission (1429) which collapsed 92.1% on 30-Oct, and the other may be Beng Soon Machinery (1987) which in our view is still a bubble.
机构
主题
Censure of Anthony Yeung Chun Wai and Great Wall B&R (0524), criticism of other former directors
SEHK, 13-Mar-2020
We note from a 2017 circular that Mr Yeung traded numerous other shareholdings with GWBR in breach of Listing Rules, selling it shares in Kingston Financial (1031), Sincere Watch (0444) and Tech Pro Technology (3823) in 2015 and SingAsia (8293) in 2017, and buying shares in Beijing Enterprises Clean Energy (1250) in 2016 and Beijing Gas Blue Sky (6828) in 2017. He crossed the trades in the market using Kingston Securities for GWBR and on his side Enlighten Securities, Union Bancaire Privee and HSBC.
机构
人物
SFC suspends Mr Chau Kwok Hung for 1 month; Mr Liu Cheuk Sun for 4 months; reprimands Ms Tsui Pui Yin re secret accounts of a dealer's rep