SFC fines 2 JPMorgan entities HK$5.6m for regulatory breaches
SFC, 20-Oct-2016
SFC fines 3 JP Morgan entities total HK$30m
SFC, 15-Dec-2015
Note: there was apparently no actual failure to settle the 41,000 uncovered short sales (for which the firm held long positions in other legal entities), nor did any client get a worse price on their agency orders than they could have obtained in the market.
SFC bans Benjamin Zhu Zhiwei, ex-JP Morgan, for 18 months
SFC, 7-May-2015
Zhu traded CFDs in a friend's account by sending trade instructions to his friend via his work email address. Not very smart if you are trying to hide your tracks!
SFC bans Ms Sui Yu for 3 months for regulatory breaches
SFC, 19-Nov-2013
...more than 4 years after the event.
SFC revokes licence of Edmond Leung Chi Keung and bans him for 10 years
SFC, 11-Jul-2012
Court of Appeal affirms SFAT’s decision to ban David Tsien Pak Cheong for insider dealing
SFC, 14-Jun-2011
The SFC loses in its attempt to reinstate a lifetime ban after the SFAT reduced it to 10 years.
David Tsien Pak Cheong v SFC
HK Court of Appeal, 14-Jun-2011
David Tsien Pak Cheong v SFC: costs
SFAT, 18-Feb-2011
SFAT affirms SFC decision to ban David Tsien Pak Cheong for insider dealing
SFC, 28-Sep-2010
Li & Fung/IDS offer has sting
The all-or-nothing nature of the share alternative, now worth 23% more than the cash offer, means that CCASS, which holds almost all the public shares in IDS, cannot offer the share alternative to its participants. Webb-site urges Li & Fung and IDS to amend the scheme to allow registered holders to make partial elections for shares. Otherwise, if you snooze, you lose. (24-Sep-2010)
David Tsien Pak Cheong v SFC
SFAT, 22-Sep-2010
"We are satisfied that prohibition for life in the present case is manifestly excessive".
MMT & IDT submit reports on COLI & Harbour Ring insider dealing cases
HK Government, 18-Sep-2009
MMT report on insider dealing in COLI shares, Part 1Part 2
Market Misconduct Tribunal, 20-Aug-2009

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