Yuanta Securities (Hong Kong) Company Limited 元大證券(香港)有限公司

SFC freezes certain brokerage accounts, suspects manipulation of GME (8188) on listing dayCCASS movements
SFC, 30-Aug-2017
The Webb-site CCASS Analysis System shows the net movements of stock on T+2, with Yunata and Caitong showing the largest increase, and Pacific Foundation (the Lead Manager of the IPO) the largest decrease in positions.
SFC fines Yuanta Securities (HK) Co Ltd HK$4m for hidden bond mark-ups
SFC, 29-Feb-2016
Comment: if HK had a listed bond exchange then this kind of activity would not be possible, because check prices against on-market transactions.
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
Statement on Mr Chin Cheng Sin, ex-Core Pacific Securities Ltd
SFC, 21-Sep-2001
An unusual format not involving a reprimand.
SFC reprimands Core Pacific Securities International Ltd
SFC, 26-May-2000
SFC reprimands Mr Lok Wan Wai, ex-Core Pacific Securities International Ltd
SFC, 1-Dec-1999

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