SFC fines BOCOM International Securities HK$19.6m for internal control failures
SFC, 20-Apr-2020
This partly concerns the activities of a former representative, "Mr X", who Webb-site can deduce is Mr Yeung Kei Sho.
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SFC suspends Ku Yuen Leung, ex-BOCOM, for 18 months
SFC, 23-Aug-2016
Our take: Mr Ku had deduced that an algorithmic liquidity provider would take his warrants if he bid for the related shares. Bids cannot be "artificial" as they are binding and capable of being hit. Order queues are not measures of demand and supply, they are just a series of binding bids and asks. A lot of demand or supply is not displayed, including that which buys from the best ask or sells to the best bid. The philosophy behind these prosecutions is flawed; the SFC should not encourage people to expect a directional price signal from the order queues.
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主题
SFC bans Mr Mak Shu Pan for three years
SFC, 02-Apr-2014
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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.
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SFC suspends BOCOM dealer Lee Siu Hang for 1 month
SFC, 28-Jan-2013
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SFAT affirms SFC decision to suspend Winda Sham Pik Yan for operating secret account
SFC, 22-Feb-2011
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Ms Winda Sham Pik Yan v SFC
SFAT, 18-Feb-2011
"We did not find Ms Sham to be a witness worthy of belief."