CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED 中國國際金融香港證券有限公司

SFC bans Ms Sun Yiding for 8 monthsStatement of Disciplinary Action
SFC, 19-Dec-2022
For operating an external brokerage account, in which she conducted 829 trades worth HK$47.4m in a year, including 3 stocks on a Restricted List, without disclosure or pre-clearance.
SFC bans Mr Xu Tao, ex-CICC, for 4 months
SFC, 11-Oct-2017
For taking stockbroking orders by WeChat.
Poon Ming Pui fined HK$10k
HKICPA, 15-Dec-2015
This is a follow-on from an SFC action.
SFC bans Mr Poon Ming Pui, ex-Yuanta & CICC, for 10 months
SFC, 13-Jan-2014
Ping An: not the whole picture
We look behind last night's shock placing by Ping An Insurance to tycoon Cheng Yu Tung, and call for a full explanation from the issuer. (15-Mar-2011)

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