Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司

SFC bans Joseph Hsu Kar Hing, ex-Standard Chartered Securities, for 3 years
SFC, 17-Jul-2018
Comment: this probably relates to the China Forestry listing, jointly sponsored with UBS. Mr Hsu abandoned his appeal to the Securities and Futures Appeals Tribunal on 6-Jul-2018. The appeals by the two sponsors are set to be heard in March 2019.
SFC takes former CEO and Chairman of China Forestry (delisted) to Market Misconduct Tribunal
SFC, 28-Jun-2018
SFC fines StanChart HK$2.6m for short selling & FRR breaches
SFC, 18-Dec-2017
David Webb's alternative deal of the year awards
International Financial Law Review, 28-Feb-2012
Censure of Artini China (0789) and various directors
SEHK, 23-Aug-2011
For failing to announce when they knew on 11-Aug-2008, less than 2 months after the company was listed, that its profitability in the quarter to 30-Jun had collapsed. The stock listed at $2.22 and was brought to you by Cazenove Asia Ltd (now Standard Chartered Securities (HK) Ltd). It closed today at $0.175.

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