SFC bans Lau Tin Yau, ex-UOB Kay Hian and Standard Chartered Bank, for life
SFC
SFC, 26-Oct-2021
This follows his earlier court conviction and fine on 3-Sep-2020 for failing to tell the SFC about other investigations against him by a then-unnamed body which now turns out to be the HKMA, which began investigating on 5-Dec-2018 following Lau's conviction under the Prevention of Bribery Ordinance in May 2018, for which he was ordered to do 200 hours of community service.
机构
人物
Lau Tin Yau, ex-UOB Kay Hian, pleads guilty to providing false or misleading information to SFC
SFC
SFC, 03-Sep-2020
Mr Lau is fined HK$36k. He didn't disclose in Aug-2017 that he was under investigation by other (unnamed) regulatory or criminal investigation bodies, and in Mar-2018 that he had been charged with a criminal offence. We don't know what the charge related to or whether it was dropped.
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人物
SFC bans Lawrence Lai, ex-UOB Kay Hian, for 10 years
SFC, 02-Nov-2016
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人物
SFC suspends Lam Ka Wo for 3 years
SFC, 20-May-2013
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人物
SFC reprimands Mr Mak Wai Kwong, who pays HK$35k instead of 6-week suspension
SFC, 25-Aug-2006
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人物
主题
SFC reprimands Mr Ip Hon Man, who pays HK$100k instead of 3 month suspension
SFC, 26-Aug-2005
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人物
主题
SFC reprimands Ms Kitty Ho Yuk Ching, for circumventing Exchange trading rule, distorting price mechanism & failing to keep order records
SFC, 17-Dec-2003
So what is wrong with making a large bid at a low price, when there is no better bid? How can you "depress" a bid price when there isn't a previous bid? The spirit of the rule is to prevent input errors at prices far removed from the nominal price, not to prevent buyers from placing orders at prices they are willing to pay, even if well below previous prices. Nobody has to sell at that price if they don't want to.