DEUTSCHE BANK AKTIENGESELLSCHAFT

SFC fines Deutsche Bank AG and its brokerage HK$8.3m
SFC, 13-Mar-2018
For failure to report short positions, because they used the wrong denominator, for all issued shares rather than just H-shares, amongst other things.
Duo jailed for HK$6.4m bribery over trading of derivative warrants at re-trial
ICAC, 26-Feb-2018
Ex-Deutsche Bank executive and warrant trader admit HK$6.4m bribery
ICAC, 22-Jan-2018
Ha But Yee admits paying HK$6.4m to Ma Sin Chi between Jan-2007 and May-2008, for information on derivative warrants issued by DB. Mr Ha and his family made a net profit of over HK$203m through trading of DB warrants. Ma remained a Responsible Officer of DB until 6-Jan-2012. The ICAC doesn't mention that this guilty plea follows a previous trial in which the defendants were found guilty but the convictions were quashed by the Court of Appeal due to misdirection of the jury by the Judge. By then, they had already served 2.5 years of a 7-year sentence.
SFC bans Derek Ong, ex-Deutsche Securities, for 10 years
SFC, 17-Nov-2016
HKSAR v Ha But Yee
HK Court of Final Appeal, 11-Nov-2016
Leave to appeal against the Court of Appeal's decision to order a retrial is refused.
HKSAR v Ma Sin Chi
HK Court of Appeal, 20-Oct-2016
HKSAR v Ma Sin Chi
HK Court of Appeal, 22-Sep-2016
Leave to appeal to the Court of Final Appeal is refused.
HKSAR v Ma Sin Chi & Ha But Yee
HK Court of Appeal, 15-Jul-2016
A retrial is ordered for both defendants.
HKSAR v Ma Sin Chi & Ha But Yee
HK Court of Appeal, 17-Jun-2016
The convictions of both appellants are quashed.
Penta Investment Advisers Ltd v Allied Weli Development Ltd
HK Court of Appeal, 11-Dec-2015
Penta Investment Advisers Ltd v Allied Weli Development Ltd
HK Court of Appeal, 18-Aug-2015
HKSAR v Ma Sin Chi & Ha But Yee
HK Court of Appeal, 11-Aug-2015
Leave to appeal against conviction and sentence is granted.
Mascotte Holdings Ltd (0136) v Deutsche Bank AG
HK Court of First Instance, 15-May-2015
Penta Investment Advisers Ltd v Allied Weli Development Ltd
HK Court of First Instance, 14-Oct-2014
Penta successfully sues a BVI company at the centre of what we call the "Chung Nam Network" over a guarantee of a profit from a subscription of shares in Mascotte (0136) which followed a heavy loss on an earlier subscription in Freeman (0279). The claimed quantum is HK$211m. After a restructuring, Allied Weli is now a 100% subsidiary of HEC Capital Ltd.
Deutsche Bank fined HK$1.6m for disclosure failures
SFC, 22-May-2014
7 years' jail for HK$24m bribery over derivative warrants
ICAC, 9-Dec-2013
HKSAR v Ma Sin Chi & Ha But Yee: sentencing
HK Court of First Instance, 9-Dec-2013
SFAT allows review for ex-Deutsche trader over trading of HSBC shares
SFC, 21-May-2013
Christian Denk v SFC
SFAT, 20-May-2013
Deutsche Bank MD & 4 investors charged with HK$24m bribery over trading of derivative warrants
ICAC, 12-Jan-2012
Mr Ma is a Responsible Officer of Deutsche Securities Asia Ltd.
Deutsche Bank AG v Daniel Mamadou Blanco
HK Court of First Instance, 23-Dec-2011
SFC bans Emilie Chau Shuk Man, ex-Deutsche Bank research, for 2 years
SFC, 12-Oct-2011
Citi-Funds Corporate Services Ltd v Deutsche Bank AG
HK Court of First Instance, 24-Jun-2011
An FX accumulator case involving one Mr Kirpalani gets underway.
ICAC swoops on traders
HK Standard, 15-Apr-2011
11 persons arrested in alleged warrant scam
ICAC, 14-Apr-2011
Deutsche Bank petitions to wind up China Packaging over toxic derivatives
Company announcement, 9-Jul-2009
Termination of toxic derivatives by Deutsche Bank after non-payment
Company announcement, 15-May-2009
Sinotronics disputes Deutsche Bank writ over toxic derivatives, says true risks were misrepresented
Company announcement, 2-Apr-2009
SFC fines Deutsche Securities Asia Ltd HK$6m
SFC, 16-Dec-2008
Deutsche Bank's claim on Sinotronics for termination of toxic derivatives
Company announcement, 13-Nov-2008
Termination of Deutsche Bank toxic derivatives
Company announcement, 11-Nov-2008
Sinotronics follows the lead of First Natural Foods and declines to comply with payment request. DB then terminates. Now what about China Packaging?
Deutsche Bank's claim on First Natural Foods for termination of toxic derivatives
Company announcement, 5-Nov-2008
Termination of Deutsche Bank toxic derivative
Company announcement, 3-Nov-2008
First Natural Foods says it was "induced" by Deutsche Bank's "representations" to sign the contract, and now regards it as unenforceable. Comment: good, now what about Sinotronics and China Packaging, amongst others?
Deutsche Bank's toxic derivatives
Two years ago, we successfully deterred the issuance of further toxic convertibles by listed companies in Hong Kong. Now we find that another bank is peddling toxic derivatives to small listed companies, including three small, apparently cash-rich, HK-listed industrial companies from Fujian. Both sides are to blame. Listed companies should only use derivatives to reduce risk, not to increase it, and banks should not be selling such unsuitable and toxic products to unsophisticated clients. (30-Nov-2007)
Moulin Global Eyecare Holdings Ltd - winding up proceedings
HK Court of First Instance, 5-Jun-2006

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