GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED 國泰君安證券(香港)有限公司

SFC restricts accounts at 14 brokers for suspected manipulation of Smartac (0395)
SFC, 25-Jun-2019
SFC issues restriction notices to 9 brokers freezing client accounts linked to suspected market manipulation of China Ding Yi Feng (0612) shares
SFC, 20-Mar-2019
We note that the Gazette Notices published on 29-Mar-2019 do not attach the normal "Statement of Reasons" that they refer to.
SFC fines Guotai Junan Securities (Hong Kong) Ltd HK$1.3m
SFC, 30-May-2016
For carrying on dealing for a Korean intermediary after it knew that the Korean firm was refusing to provide details of the ultimate clients to the SFC.
Court of First Instance overturns broker's market manipulation conviction
SFC, 3-Feb-2012
SFC v Pan Ming
HK Court of First Instance, 3-Feb-2012
The reasons for Mr Pan's successful appeal.
Broker jailed for five months for market manipulationCCASS changes 8-Apr-2008
SFC, 1-Mar-2011
See CCASS movements on 8-Apr-2008 at the second link above. That was the settlement day for the off-market trade after market hours on 2-Apr-2008. An arrest warrant is still outstanding for Anthony Mei Hsiao Tung, according to the SFC's prosecutions calendar.
SFC fines Mr Wong Tung Ching HK$210k
SFC, 6-Dec-2006
SFC fines Mr Wong Chi Ming, ex-Guotai Junan, HK$35k for breach of staff dealing policy
SFC, 22-May-2006
SFC fines Carmela Lau Yin Mei for short selling and other misconduct
SFC, 5-Oct-2005
SFC fines Guotai Junan Securities (HK) Ltd HK$0.4m for FRR breaches and other internal control failures
SFC, 8-Sep-2005

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