How to (almost) snatch a company: Aeso Holding's (8341) wild IPO
Bloomberg, 4-Oct-2019
Connie Ng Chiu Mui & Law Kai Yee v Robertsons, solicitors
HK Court of First Instance, 3-Nov-2014
"The Plaintiffs’ claims were mostly concocted. They have utterly failed to prove any factual basis of breach of duty of care and standard of care on the part of Robertsons."
Connie Ng Chiu Mui & Law Kai Yee v Shum Lik Keung & Lo Cho Yan
HK Court of First Instance, 22-Aug-2011
The judge rules that the content of SFC compulsory interviews under Section 183 of the SFO are subject to absolute privilege, so an interviewee cannot be sued for alleged libel, slander or false and malicious statements.
Fins Development Ltd & Hong Kong Huaming Co Ltd v Elke Tang Yuen Ting
HK Court of First Instance, 18-Mar-2011
This case involves possible abuse of funds from a wholly-owned subsidiary of Jingwei Textile (0350) which purportedly were intended to be routed into leveraged foreign exchange accounts held in the names of two of its staff at Cosmos Hantec Investment (NZ) Ltd, an unlicensed entity. The defendant was declared bankrupt after being fined by the SFC last year.
Court of Appeal upholds SFAT ruling on SFC action against former Cinda ROs
SFC, 26-May-2010
SFC disciplines trio for unlicensed leveraged forex trading
SFC, 2-Jun-2009
Note: Elke Tang was subsequently made bankrupt in HCB 2421/2010 on 26-May-2010, so we don't know whether she ever paid the fine.
Mr Rico Wong Kwok Fan v SFC
SFAT, 28-Apr-2005
SFC suspends Mr Rico Wong Kwok Fan for account opening failings and aiding & abetting unlicensed dealing
SFC, 28-Apr-2005
SFC reprimands Hantec International Finance Group Ltd for poor internal controls and staff supervision
SFC, 14-Sep-2004
SFC revokes licence of Mr Li Hon Kay, ex-HT Securities Ltd
SFC, 2-Oct-2003
SFC suspends Ms Kwan Wai Fong for 4 weeks for misconduct in handling client accounts
SFC, 5-May-2003
SFC reprimands Mr Ho Chi Man, ex-HT Securities Ltd, for abusing client account
SFC, 29-May-2002
SFC suspends Mr Tse Hon Pan for 3 years for abusing client accounts
SFC, 27-May-2002
SFC suspends Mr Ng Kwun Wing for 9 months
SFC, 27-May-2002

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