GOLDMAN SACHS (ASIA) L.L.C. 高盛(亞洲)有限責任公司

Hiding behind the cornerstones
Webb-site reveals that investors who took 31% of a bank IPO had secretly laid off their risk by issuing derivatives to a mainland property developer from the same city, via two HK-listed companies which incidentally are bubble stocks. When we complained, HKEX did not require disclosure of the bank’s identity, thereby preserving the secrecy behind the cornerstone investors which facilitate HKEX’s IPO business. Once again, the regulatory conflict of interest is exposed. (3-Oct-2016)
SFC publicly censures Goldman Sachs for breaches of the Takeovers Code
SFC, 2-Feb-2016
Listing Committee censures Goldman Sachs
SEHK, 27-Apr-2012
China Man-made Fiber Corporation v Goldman Sachs Asia LLC
HK Court of First Instance, 30-Mar-2012
David Webb's alternative deal of the year awards
International Financial Law Review, 28-Feb-2012
Ping An: not the whole picture
We look behind last night's shock placing by Ping An Insurance to tycoon Cheng Yu Tung, and call for a full explanation from the issuer. (15-Mar-2011)
China Vanguard's Grand Promise
China Vanguard (8156) bought an asset from its controlling shareholder at 6.5 times the price at which China Motion (0989) turned it down. Now it is struggling to redeem convertible bonds the target issued to Goldman Sachs and Evolution Capital. We also query a year-end HK$139m cash outflow to buy a company which was once owned by the controlling shareholder, with negative net assets. Finally we look at a pending acquisition by Aptus, its subsidiary. (10-Dec-2009)
SFC prohibits Ronnie Wong Wang from re-entering the industry for 2 years
SFC, 9-Jul-2009
Note: media, quoting sources, have identified the client as Joyce Tsang Yue, former chairman of Modern Beauty Salon Holdings Ltd (0919).
SFC fines Mr Chia Wei Chen, ex-Goldman Sachs, HK$50k, for failing to tag short sales
SFC, 26-Feb-2008
SFC reprimands Vivien Webb Wong for short selling and other failings
SFC, 3-Aug-2005
Cease & Desist order and US$2m settlement with Goldman Sachs
US SEC, 1-Jul-2004
SFC reprimands Ting Chuk Kwan, a research analyst, for selective disclosure of price sensitive information
SFC, 17-Jun-2003
Chan Sing Chuen v Jessie Yung Mei Chun
HK District Court, 31-Dec-2002

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