CES Commodities (HK) Limited 光證期貨（香港）有限公司
Ms Chan Shun King, ex-SHK, banned for 2 years
| Statement of Disciplinary Action
SFC, 25-Nov-2020
For discretionary dealing in 2 clients' accounts for 7 years without written authorisation.
SFC, 25-Nov-2020
For discretionary dealing in 2 clients' accounts for 7 years without written authorisation.
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.
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.
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, 31-Oct-2005
SFC suspends Mr Cheng Wai Shan for 6 months for deceiving employer in account opening and facilitating unauthorised trades
SFC, 24-Dec-2004
SFC, 24-Dec-2004
Mr Cheng Wai Shan v SFC
SFAT, 23-Dec-2004
Suspension reduced from 9 to 6 months due to over-egging of pudding by SFC.
SFAT, 23-Dec-2004
Suspension reduced from 9 to 6 months due to over-egging of pudding by SFC.
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