SFC bans Christopher Tse for a year
SFC, 6-Feb-2020
The former research analyst at RHB Securities was trading in stocks he covered, through his father's account at another brokerage, sometimes contrary to his own recommendations. We note that he left RHB for Guosen Securities in 2015 and left Guosen in 2017, becoming CFO of Plover Bay Technologies (1523).
SFC suspends Mr Shiu Yau Wah of RHB Securities for 5 months
SFC, 29-Jan-2020
For discretionary trading in a client account without written authorisation. We note that in 2004 he was suspended for 4 months for cold calling. He was also prosecuted and fined HK$5k for that.
SFC fines RHB Securities Hong Kong Ltd HK$6.4mListings sponsored by RHB
SFC, 2-Jan-2020
One of the 4 matters involved was failure to fully disclose a listing sponsorship in a Nov-2015 research report on an unnamed client. We can tell you that the only listing sponsored by RHB Capital HK Ltd in 2015 was Clear Lift Holdings Ltd (now Hao Tian International Construction Investment Group Ltd, 1341.HK).
Bubbles and troubles in Hong Kong
Pour yourself a coffee and digest this long article as we investigate several ongoing abusive "open offers" and placings as well as show you who's been making out in multi-billion-dollar bubbles. We call on regulators and rule-makers to take action. (24-Sep-2015)
Roger Tsui Chi Fung banned for 9 months for providing false information to SFC
SFC, 26-Aug-2014
Former licensee convicted of providing SFC false or misleading informationFINRA settlement
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
SFC bans Ms Luk Ping for 10 months
SFC, 8-Apr-2013
SFC suspends Ms Ho Ying, formerly of OSK securities, for 5 months
SFC, 5-Feb-2010
SFC suspends Ms Lolitta Tong Lee Mei Wah for 4 months for unauthorised trading
SFC, 9-Mar-2005
SFC reprimands Prudence Securities Co Ltd & suspends Mr Kenneth Or Wai Hung for 6 months for internal control failings
SFC, 7-Apr-2004
SFC revokes licence of Simon Tam Siu Ki for rat trading and other trading malpractices
SFC, 30-Oct-2003
SFC reprimands Mr Chan Sum Kiu for failure to verify a client's identity
SFC, 30-Oct-2003

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