SHENWAN HONGYUAN (H.K.) LIMITED 申萬宏源(香港)有限公司

SFC freezes 4 accounts at Shenwan Hongyuan holding shares in something | Gazette Notice
SFC, 3-Sep-2020
The SFC suspects market manipulation of the shares of an unnamed HK-listed company. The Gazette Notice published on 11-Sep-2020 shows a total market value of HK$7.86m at stake.

Shenyin Wanguo (0218): HKICPA sanctioned INED Patrick Ng Wing Hang
Company announcement, 17-Oct-2014
We note that Mr Ng is also Chairman of this company's audit committee.

People
- Ng, Patrick Wing Hang 吳永鏗

Patrick Ng Wing Hang, MD of Pan-China (H.K.) CPA, fined HK$70k for failings in 2006 and 2007 audits of Luxey (8041)
HKICPA, 29-Sep-2014
His firm Patrick Ng & Co was reorganised into a company now named Pan-China (H.K.) CPA Ltd in 2008. He is an INED and audit committee chairman of Far East Hotels and Entertainment (0037) and Shenyin Wanguo (H.K.) (0218). The case was investigated by the Financial Reporting Council and referred to the HKICPA on 18-Sep-2012 but was not referred to a disciplinary panel until 22-Oct-2013. Why should the HKICPA hang on to its disciplinary role?

SFC suspends Ms Pat Siu Mei Yee, ex-Shenyin Wanguo
SFC, 31-Mar-2014

SFC suspends Ms Tau Ling Ling for 11 weeks for unauthorised trading
SFC, 28-Sep-2006

SFC reprimands Shenyin Wanguo Securities (HK) Ltd for internal control inadequacies
SFC, 21-Dec-2005

Orgs
- SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED

SFC suspends Mr Weng Yi Jiong for 1 month for failings re operation of client account by third party
SFC, 7-Mar-2005

SFC suspends Mr Chiu Ming for failure to inquire into suspicious trades
SFC, 6-Aug-2003

SFC suspends Ms Anne Luk Sze Man for 3 months for ignoring possibly illegal and improper trades
SFC, 5-May-2003

SFC suspends Mr Ho Ying Wai for 3 months
SFC, 4-Apr-2003

SFC reprimands Shenyin Wanguo Securities (HK) Ltd
SFC, 20-Nov-2002

Orgs
- SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED

SFC reprimands Chan Yuet Ngor
SFC, 20-Feb-1997