Merrill Lynch Far East Limited
SFC takes Tianhe Chemicals and CEO Wei Xuan to Market Misconduct Tribunal and to court to seek compensation orders for investors
| MMT Notice
SFC, 7-Sep-2020
The stock last traded in 2015 and was delisted on 11-Jun-2020. The MMT notice is dated 19-Jun-2020 but was not announced until now.
SFC, 7-Sep-2020
The stock last traded in 2015 and was delisted on 11-Jun-2020. The MMT notice is dated 19-Jun-2020 but was not announced until now.
SFC fines Merrill Lynch HK$128m for sponsor failures
SFC, 14-Mar-2019
On the Tianhe Chemicals (1619) IPO in 2014. Notably no human at ML is named as responsible for the failings - perhaps that will come later. ML scores a lower fine than fellow sponsor Morgan Stanley at HK$224m for the same deal. UBS scored HK$375m, but that was for a hatrick of listing applications.
SFC, 14-Mar-2019
On the Tianhe Chemicals (1619) IPO in 2014. Notably no human at ML is named as responsible for the failings - perhaps that will come later. ML scores a lower fine than fellow sponsor Morgan Stanley at HK$224m for the same deal. UBS scored HK$375m, but that was for a hatrick of listing applications.
AP investigation on Tianhe Chemicals (1619)
Associated Press, 14-Nov-2014
Note: the IPO actually had 3 sponsors: Morgan Stanley, UBS and BofA Merrill Lynch.
Associated Press, 14-Nov-2014
Note: the IPO actually had 3 sponsors: Morgan Stanley, UBS and BofA Merrill Lynch.
SFC reprimands Michael Yau Cheuk Hong for improperly allowing a third party to place orders for his clients
SFC, 26-Feb-2003
SFC, 26-Feb-2003
SFC takes action against Merrill Lynch (Asia Pacific) Ltd & Merrill Lynch Far East Ltd
SFC, 10-Apr-2000
SFC, 10-Apr-2000
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