Merrill Lynch Far East Limited

SFC fines Merrill Lynch HK$128m for sponsor failures
SFC, 14-Mar-2019
On the Tianhe Chemicals (1619) IPO in 2014. Notably no human at ML is named as responsible for the failings - perhaps that will come later. ML scores a lower fine than fellow sponsor Morgan Stanley at HK$224m for the same deal. UBS scored HK$375m, but that was for a hatrick of listing applications.
SFC fines Merrill Lynch firms HK$15m over internal control failures
SFC, 24-Mar-2017
SFC fines Merrill Lynch Far East Ltd HK$2m for futures position limit breach
SFC, 1-Apr-2015
AP investigation on Tianhe Chemicals (1619)
Associated Press, 14-Nov-2014
Note: the IPO actually had 3 sponsors: Morgan Stanley, UBS and BofA Merrill Lynch.
SFC reprimands Benny Chong Tin Lung for misconduct
SFC, 1-Apr-2003
SFC reprimands Michael Yau Cheuk Hong for improperly allowing a third party to place orders for his clients
SFC, 26-Feb-2003
SFC takes action against Merrill Lynch (Asia Pacific) Ltd & Merrill Lynch Far East Ltd
SFC, 10-Apr-2000

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