CLSA Capital Markets Limited 中信里昂證券資本市場有限公司

Hiding behind the cornerstones
Webb-site reveals that investors who took 31% of a bank IPO had secretly laid off their risk by issuing derivatives to a mainland property developer from the same city, via two HK-listed companies which incidentally are bubble stocks. When we complained, HKEX did not require disclosure of the bank’s identity, thereby preserving the secrecy behind the cornerstone investors which facilitate HKEX’s IPO business. Once again, the regulatory conflict of interest is exposed. (3-Oct-2016)
SFC bans Ryan Fong Yen-hwung forever
SFC, 24-Mar-2010
SFC bans Allen Lam Kar Fai forever
SFC, 23-Nov-2009
Former investment banker and fund manager jailed for insider dealing
SFC, 20-Jul-2009
Former investment banker and fund manager plead guilty to insider dealing
SFC, 7-Jul-2009
Note: on 30-Sep-05, filed a complaint of probable insider dealing with the SFC, based on price movements on 12-Sep-05 before the takeover was announced.
Insider dealing case transferred to District Court
SFC, 16-Oct-2008
SFC prosecutes 4th insider trading case this year
SFC, 25-Sep-2008

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