For unauthorised discretionary dealings using pre-signed blank instruction forms.
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人物
Court doesn't find insider dealing in IDS shares
SFC, 18-Jan-2018
机构
人物
主题
Court sets pre-trial date 12-Sep-2017 for IDS insider dealing case
SFC, 26-Jul-2017
机构
人物
主题
SFC commences insider dealing prosecutions over IDS privatisation
SFC, 09-Jun-2017
Mr Lam Yik Tung is alleged to have tipped his friends in Aug-2010. According to Webb-site Who's Who, he worked for BNP Paribas until 17-Apr-2014. BNP Paribas was the independent financial adviser to Li & Fung Ltd on the privatisation.
机构
人物
主题
SFC fines BNP Paribas Securities (Asia) Ltd HK$11m for failing to report cross trades