SFC fines China Everbright Securities (HK) Ltd HK$3.8m for breaches of anti-money laundering requirementsStatement of Disciplinary Action
SFC, 16-Jun-2022
Court finds trio engaged in insider dealing in TeleEye (8051) sharesJudgment
SFC, 10-Nov-2021
SFC fines China Everbright Securities (HK) Ltd HK$2.5mStatement of Disciplinary Action
SFC, 29-Sep-2020
For pledging client securities as collateral for its own credit line from 3 banks in HK.
Bubbles and troubles in Hong Kong
Pour yourself a coffee and digest this long article as we investigate several ongoing abusive "open offers" and placings as well as show you who's been making out in multi-billion-dollar bubbles. We call on regulators and rule-makers to take action. (24-Sep-2015)
SFC bans Koo Yiu Chee for 8 months
SFC, 11-Sep-2013
SFC fines China Everbright Securities (HK) and its RO HK$1.6m
SFC, 11-Apr-2013
Mr X was later identified by the SFC as Mr Koo Yiu Chee.
Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
Value Divergence
We look at the strange events at Value Convergence (0821) where Melco (0200) is selling its controlling stake at $1.92 before a massive dilutive CB issue at $1.00, a third of which is going to China Fortune (0290). Shareholders should vote against the bond issue, and bond subscribers and their associates should be prohibited from voting any shares they hold. (21-Sep-2009)
SFC suspends Ms Ho Yuk Kuen for 6 months and Mr Kan Tsang Fu for 4 months
SFC, 20-Dec-2007
Mr Evens Fung Kwing Lau v SFC
SFAT, 16-May-2006
SFC suspends Mr Lo Kwok Sun for 1 month for not promptly executing clients' trades
SFC, 16-Sep-2002
SFC suspends Mr Andy Lui Hing Yip for 6 weeks
SFC, 24-Jul-2001

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