SFC bans Ms Sun Yiding for 8 months | Statement 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.

• People
  • Sun, Yiding 孫一丁

SFC bans Mr Xu Tao, ex-CICC, for 4 months
SFC, 11-Oct-2017
For taking stockbroking orders by WeChat.

• Orgs
  • China International Capital Corporation (International) Limited
  • China International Capital Corporation Limited
• People
  • Xu, Tao (SFC:AMF173) 許韜

Poon Ming Pui fined HK$10k
HKICPA, 15-Dec-2015
This is a follow-on from an SFC action.

• Orgs
  • CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED
  • Yuanta Securities (Hong Kong) Company Limited
• People
  • Hong, Wallace Wing Kwong 康榮江
  • Lam, Kevin Sze Cay 林詩棋
  • Lee, Susanna Wai Yan 李偉恩
  • Poon, Ming Pui 潘明培
  • Shen, Timothy Ka Yip 沈嘉奕
  • Yeung, Lesley Kit Kam 楊潔金

SFC bans Mr Poon Ming Pui, ex-Yuanta & CICC, for 10 months
SFC, 13-Jan-2014

• Orgs
  • CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED
  • Yuanta Securities (Hong Kong) Company Limited
• People
  • Poon, Ming Pui 潘明培

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)

• Orgs
  • GOLDMAN SACHS (ASIA) L.L.C.
  • Goldman Sachs Group, Inc. (The)
  • PING AN INSURANCE (GROUP) COMPANY OF CHINA, LTD.
• People
  • Cheng, Yu Tung 鄭裕彤