SFC fines Mr Wu Hon Cheung HK$50k
SFC, 9-Jan-2018
Mr Wu failed to record voice instructions on a recorder, and failed to record order details in a manual trade blotter. He has since moved on from Sun Hung Kai Securities to China Industrial Securities.
SFC bans Ma Yu Lung, ex-SHK & Co, for 8 years
SFC, 26-Jan-2017
In a devious scheme, Mr Ma got two account holders to place orders that were really coming from third parties, whose names Mr Ma says he cannot recall. Reading between the lines, the SFC was probably investigating suspected market manipulation. The events in question took place almost 7 years ago, but he was licensed to SHK until June 2013.
Alleged hacked BOCI account explains Pa Shun Pharma (0574) surge
A Cyberport-based investment company alleges that an unauthorised person logged into its BOCI account and bought up 4.92% of PSP at an average 36% above the previous day's close, draining its account of about HK$37.7m. The SFC has today commenced a general cybersecurity review on brokers' systems after 16 incidents in the last 12 months involving over HK$100m. (13-Oct-2016)
SHK & Co (0086) lends HK$700m to an unnamed company...
Company announcement, 22-Dec-2014
But we can tell you that the borrower is almost certainly FDG Electric Vehicles (0729) which is currently making an offer for CIAM (0378). Allied Properties (0056), which owns 70% of SHK, gets a HK$14m "referral fee". The loan rate of 1.5% per month is 19.6% APR.
SFC suspends Eric Shum Kam Chi, ex-SHK, for 3 years over Sino-Life (8296) IPO sponsorship failures
SFC, 16-Sep-2014
According to Webb-site Total Returns, the stock has lost 77.5% since its first day of trading on 9-Sep-2009 (9-9-9). In search of a more propitious name, we suggest the funeral services company renames itself Sino-Death. In Jan-2014, Sun Hung Kai was fined HK$12m and suspended from corporate finance advisory services for 1 year.
SFAT affirms SFC decision to fine Sun Hung Kai International Ltd HK$12m and suspend licence for IPO sponsor failures
SFC, 27-Jan-2014
In relation to Sino-Life (8296), which should probably be renamed Sino-Death as it is in the funeral business and has cremated shareholders' investments too.
Sun Hung Kai Investment Services Ltd v Quality Prince Ltd & others
HK Court of First Instance, 13-Jan-2014
SHK (0086) loses its case against Jane Chan Yam Fai, widow of Lam Sai Wing, the founder of 3D-Gold Jewellery. SHK is pursuing a HK$36m debt (as of 13-Oct-2008, plus interest since). The judge finds that she signed the guarantee under undue influence of her husband, and thereby flushes the claim down the golden toilet for which Lam was famous.
SHKF's abuse of HKID numbers
Next in our series on the abuse of HKID numbers as passwords comes stockbroker Sung Hung Kai Financial, which uses them to "secure" e-mailed statements. (19-Dec-2013)
SFC fines Sun Hung Kai Investment Services Ltd HK$1.5m
SFC, 22-Apr-2013
For failing to prevent a HK$47bn fat-finger order going to the market in China Life (2628) on 8-Sep-2011.
China Kingstone (1380): provisional liquidators appointed at controlling shareholder
Company announcement, 25-Oct-2012
The new petitioner is a subsidiary of Sun Hung Kai & Co. Ltd (0086). The previous one is a subsidiary of Bank of Communications Co Ltd (3328). The controlling shareholder is or was owned by Mr Huang Xian You, who was never on the board of the listed company.
SFC bans Esther Lee Ying Chih for three years
SFC, 9-Aug-2012
SFC bans Ms Leung Kam Yu for three years
SFC, 6-Aug-2012
Broker counts cost after massive error
HK Standard, 9-Sep-2011
Sun Hung Kai Investment Services fined HK$4.5 million
SFC, 21-Jun-2011
SFC bans Ng Kwok Leung for 3 years for price fixing
SFC, 23-Dec-2010
Former SHK executive given community services order for market manipulation
SFC, 9-Jun-2010
Former SHK executive convicted of market manipulation for client
SFC, 27-May-2010
Sun Hung Kai Investment Services Ltd v Lam Sai Wing & others
HK Court of Appeal, 14-May-2010
Two warrant traders convicted of market "ping pong"
SFC, 7-May-2010
SFC bans Edmond Chau Chin Hung for life and fines him HK$2m
SFC, 28-Jan-2010
SFC bans Mr Chau Sik Ki forever
SFC, 14-Jan-2010
He was also banned for 4 months in 2006 when he was prosecuted for cold-calling while at Tanrich Futures Ltd.
SFC bans Mr Lee Man Shun for 7 months
SFC, 5-Jan-2010
SFC suspends Connie Cheung Sau Lin for market misconduct
SFC, 17-Dec-2009
Sun Hung Kai Investment Services fined HK$4m
SFC, 12-Oct-2009
Sun Hung Kai Investment Services Ltd v Lam Sai Wing & others
HK Court of First Instance, 3-Sep-2009
SFC reprimands and fines Shun Loong Securities Co Ltd, suspends Wilhelm Soeharsono Budihardjo
SFC, 19-Aug-2009
Sun Hung Kai Investment Services Ltd v Lam Sai Wing & others
HK Court of First Instance, 12-Aug-2009
Sun Hung Kai Investment Services Ltd v Lam Sai Wing & others
HK Court of First Instance, 7-Aug-2009
Sun Hung Kai Invesment Services Ltd v Lam Sai Wing & others
HK Court of First Instance, 25-May-2009
Global Bridge Assets Ltd & others v Sun Hung Kai Securities Ltd & others
HK Court of First Instance, 22-Apr-2009
Market Misconduct Tribunal submits report on QPL International Holdings Limited
HK Government, 18-Mar-2009
Sun Hung Kai agrees with SFC to repurchase Lehman Minibonds at face value
SFC, 22-Jan-2009
Report on dealings in QPL from 6-May-03 to 10-Jun-03, Parts I & IIAnnexure
Market Misconduct Tribunal, 22-Jan-2009
The paid advert opposing the blackout rule
With links to the signatories in Webb-site Who's Who. (29-Dec-2008)
Investment consultant jailed for fraud
South China Morning Post, 2-Dec-2008
Chau Chin Hung, Cheung Sau Lin, Cheeroll Ltd & Sung Hung Kai Investment Services Ltd v Market Misconduct Tribunal
HK Court of First Instance, 22-Sep-2008
SFAT upholds SFC's suspension of Mr Joe Wong Ting Choi
SFC, 8-May-2008
Joe Wong Ting Choi v SFC
SFAT, 8-May-2008
SFC bans Mr Poon Ting Kei forever
SFC, 8-Jan-2008
SFC bans Mr Suen Wai Hung for 3 years for abusing client accounts
SFC, 11-Dec-2007
SFC prosecutes Suen Wai Hung & Liang Kin Wai for short selling
SFC, 13-Sep-2007
Members appointed to Market Misconduct Tribunal
HK Government, 31-Aug-2007
Concentration warning
Company announcement, 27-Jul-2006
SFC bans Mr Eric Wong Wing Fai for 5 years for research conflicts of interest
SFC, 28-Nov-2005
Sun Hung Kai Investment Services Ltd v Ma Bo Kee
HK Court of First Instance, 31-Oct-2005
SFC suspends Ms Angel Wong Yuen Sze for unlicensed dealing and Ms Julie Lo Po Wah for aiding and abetting her
SFC, 31-Oct-2005
SFC prosecutes Ms Angel Wong Yuen Sze for unlicensed dealing and Ms Julie Lo Po Wah for aiding and abetting
SFC, 29-Jun-2005
Sun Hung Kai Investment Services Ltd v Derrick Tai Chi Wah
HK Court of First Instance, 29-Apr-2005
SFC suspends Mr Ho Kwan Kit for accepting suspicious orders
SFC, 24-Mar-2005
SFC suspends Mr Cheng Wai Shan for 6 months for deceiving employer in account opening and facilitating unauthorised trades
SFC, 24-Dec-2004
Mr Cheng Wai Shan v SFC
SFAT, 23-Dec-2004
Suspension reduced from 9 to 6 months due to over-egging of pudding by SFC.
SFC suspends Ms Wong Lee Man for 8 months for account opening failings
SFC, 9-Dec-2004
SFAT upholds SFC decision to suspend analyst Mr Eric Wong Wing Fai for 18 months for front-running research reports
SFC, 2-Aug-2004
Mr Eric Wong Wing Fai v SFC
SFAT, 2-Aug-2004
Breach of Listing Rule 8.08
Company announcement, 24-Sep-2002
SFC reprimands Ms So Wai Yue
SFC, 9-Aug-2001
The client was a Mr Wang Fang, who was prosecuted on 5-Dec-2000.
SFC prosecutes Mr Wang Fang for Market Manipulation
SFC, 5-Dec-2000
His broker was Sun Hung Kai Investment Services Ltd, represented by Ms So Wai Yue, who was reprimanded by the SFC on 7-Nov-2001.
SFC severely reprimands Ms Christina Lee Oi Ping
SFC, 19-Aug-1999
Censure of 7 dealer's representatives for front-running
SFC & SEHK, 6-Mar-1998

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