CASH FINANCIAL SERVICES GROUP LIMITED

SFC fines Mr To Kei Ming of Celestial Securities Ltd HK$90k
SFC, 26-Sep-2011
SFC fines broker Karl Wu Kin Chung HK$40k for breaching telephone recording requirement
SFC, 14-Sep-2011
Truly pointless bonus issues and splits
Why do boards propose bonus issues and stock splits? We look at the drawbacks and the false and misleading reasons often advanced for such actions. If liquidity is really a concern, then a reduction in board lot size is the simplest and best way to go. Splits and bonuses are more a sign of desperation than of a sophisticated, value-focused board. (27-Dec-2010)
Tsang Wah Nam v SFC
SFAT, 20-Jan-2010
A representative of a brokerage loses his appeal to retain his licence during personal bankruptcy.
SFC bans Mr Yip Kim Wah from ever re-entering the industry.
SFC, 19-May-2009
Life ban for Mr Lee Kin Hang for abusing client assets
SFC, 21-Jul-2008
SFC suspends Mr Alex Mak Ka Bo for 6 months for misleading SFC investigation
SFC, 20-Dec-2007
SFC suspends Mr Wong Chung of Celestial Securities Ltd for 3 months
SFC, 17-May-2007
Breach of GEM Listing Rules
Company announcement, 8-Feb-2007
SFC prosecutes Alex Mak Ka Bo and Angela Yip Kit Yin for misleading SFC
SFC, 10-Aug-2006
SFC fines Celestial Securities Limited HK$21k and Mr Horace Kwan Pak Leung HK$7k for internal control failures
SFC, 20-Jul-2006
Mr Lee Siu Hung surrenders licences for at least 5 months for providing false information at SFC interview
SFC, 19-Jun-2006
SFC suspends Mr Chan Ho Yin for 15 months for breaches of Code of Conduct
SFC, 15-Jun-2006
Criticism of Company for breaching GEM Listing Rules
SEHK, 20-Feb-2006
SFC reprimands Mr Tsui Wing Kit, ex-Celestial Commodities Ltd, for breaching Code of Conduct
SFC, 10-Nov-2005
SFC's action against Mr Douglas Yu Kim Ho for facilitating unlicensed dealing
SFC, 17-Feb-2005
SFC prosecutes Mr Lung Chai Yu for cold calling
SFC, 17-Mar-2004
SFC reprimands Ms Cheung Lai Ping of Celestial Commodities Ltd for failure to handle client complaints properly
SFC, 2-Jul-2003
Breach of GEM Listing Rules
Company announcement, 14-May-2003
SFC suspends Ms Wong Bo Chu, ex-Celestial, for 6 months for trading in black market HSI Futures Contracts
SFC, 20-Jul-2001
SFC revokes registrations of Mr Chau Tat Ming for abuse of client assets
SFC, 15-Mar-2001
SFC suspends Ms Wong Wing Hing of Celestial Securities Ltd for 1 month
SFC, 8-Jul-1999
Cheerful Commodities inquiry result; Mr Law Chor Yam suspended for 6 months
SFC, 25-Jun-1999
Cheerful Securities inquiry result; reprimand of Mr Chee Jing Yin & Mr Lee Yiu Sun
SFC, 25-Jun-1999

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