GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED 國泰君安證券(香港)有限公司
SFC commences MMT proceedings against Ding Yi Feng former chairman over suspected market manipulation
| Notice to MMT
SFC, 27-Mar-2024
Rather strangely, the SFC's notice to the MMT was dated 16-Aug-2023 but has only now been uploaded to the MMT website (the PDF was created on 26-Mar-2024) and announced by the SFC. Why the delay?
SFC, 27-Mar-2024
Rather strangely, the SFC's notice to the MMT was dated 16-Aug-2023 but has only now been uploaded to the MMT website (the PDF was created on 26-Mar-2024) and announced by the SFC. Why the delay?
SFC sues ex-Chairman of Ding Yi Feng (0612) and 20 others for market manipulation, seeks compensation for investors
SFC, 26-Feb-2024
The action comes just 3 days before the 6-year limit for civil actions under the Limitation Ordinance. Presumably, criminal charges for market manipulation will not be brought, perhaps because the individuals are not in HK. The SFC has filed a Writ of Summons at the court but has not published it online, and the court registry is not online.
SFC, 26-Feb-2024
The action comes just 3 days before the 6-year limit for civil actions under the Limitation Ordinance. Presumably, criminal charges for market manipulation will not be brought, perhaps because the individuals are not in HK. The SFC has filed a Writ of Summons at the court but has not published it online, and the court registry is not online.
SFC fines Guotai Junan Securities HK$25.2m
SFC, 22-Jun-2020
This partly relates to the handling of the IPO of an unnamed company which we can reveal is Jujiang Construction (1459) in Jan-2016.
SFC, 22-Jun-2020
This partly relates to the handling of the IPO of an unnamed company which we can reveal is Jujiang Construction (1459) in Jan-2016.
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, 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.
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.
Broker jailed for five months for market manipulation
| CCASS 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, 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 Chi Ming, ex-Guotai Junan, HK$35k for breach of staff dealing policy
SFC, 22-May-2006
SFC, 22-May-2006
SFC fines Guotai Junan Securities (HK) Ltd HK$0.4m for FRR breaches and other internal control failures
SFC, 8-Sep-2005
SFC, 8-Sep-2005
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