SUN HUNG KAI INVESTMENT SERVICES LIMITED 新鴻基投資服務有限公司

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.
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.
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
SFC bans Edmond Chau Chin Hung for life and fines him HK$2m
SFC, 28-Jan-2010
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
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 Investment Services and KGI Asia complete Minibond repurchases
SFC, 2-Jul-2009
Sun Hung Kai Invesment Services Ltd v Lam Sai Wing & others
HK Court of First Instance, 25-May-2009
Sun Hung Kai agrees with SFC to repurchase Lehman Minibonds at face value
SFC, 22-Jan-2009
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
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
SFC suspends Mr Ho Kwan Kit for accepting suspicious orders
SFC, 24-Mar-2005
SFC suspends Ms Wong Lee Man for 8 months for account opening failings
SFC, 9-Dec-2004
SFC suspends Mr Chau Kwok Hung for 1 month; Mr Liu Cheuk Sun for 4 months; reprimands Ms Tsui Pui Yin re secret accounts of a dealer's rep
SFC, 5-Mar-2003
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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