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

Arcelormittal v China Oriental (0581) & others
HK Court of First Instance, 14-Sep-2018
The court rejects an application for discovery on the Jan-2017 placing of new shares which restored the public float and allowed the suspension to be lifted. China Oriental refuses to disclose the identity of the placees. Our take: the public float could have been restored without a placing, by issuing bonus shares with an alternative of non-voting convertible shares and having the two controllers elect to receive those, thereby reducing their voting weight and restoring the float. Several other companies have done so, including Sunevision (1686).
ZJW v SY
HK District Court, 21-Sep-2016
Mr Sun Yan, a former HK-listed company director who now works for a subsidiary of Burwill (0024), succeeds in showing that he has no substantial connection with HK, so the divorce petition by his wife Zhou Jianwu is dismissed. Both are based in Shenzhen. Mr Sun is involved in a claim in HCA 813/2014 which involves over HK$337m of assets held by Superb Jade Ltd, which is owned by his wife's brother. Mr Sun claims beneficial ownership.
Sun Yan v Superb Jade Ltd & others
HK Court of First Instance, 3-Mar-2016
Sun Yan v Superb Jade Ltd & others
HK Court of First Instance, 23-Oct-2015
A dispute over the beneficial owner of securities and cash held by Superb Jade Ltd worth as much as HK$300m. Mr Sun Yan is based in Shenzhen but has been a director of various HK-listed companies. He has posted HK$1m as security for costs, which the court rules is adequate given that the defendants still hold the assets which are frozen under a Mareva injunction. Superb Jade is owned by Lin Li Dong, the brother of Sun's wife, Zhao Jianwu.
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
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
SFC reprimands Miss Ida Kwai Yee Man of Shenyin Wanguo
SFC, 19-Apr-2001
SFC reprimands Mr Leung Shing Wai of Shenyin Wanguo
SFC, 19-Apr-2001
SFC reprimands Mr Tse Chi Him of Shenyin Wanguo
SFC, 19-Apr-2001
SFC reprimands Mr Yeung Shu Fan of Shenyin Wanguo
SFC, 19-Apr-2001
SFC reprimands Chan Yuet Ngor
SFC, 20-Feb-1997

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