SFC bans Abbie Yip Ka Ying, ex-BNP Paribas, for 18 months
SFC, 13-Dec-2017
For covering up a fat-finger trading error.
SFC fines BNP Paribas Securities (Asia) Ltd HK$15m for dark liquidity pool-related failures
SFC, 3-Aug-2015
SFC fines BNP Paribas Securities (Asia) Ltd HK$11m for failing to report cross trades
SFC, 1-Jun-2015
SFC suspends Mr Thomas Tong Chuck Yee for 10 months for breaching Code of Conduct and misleading the SFC
SFC, 10-Apr-2006
SFC suspends Edwin Tang Chi Wai for 3.5 months for breaches of Code of Conduct and staff compliance manual
SFC, 16-Aug-2005
SFC fines BNP Paribas Peregrine Securities Ltd HK$375k for late reporting of FRR breaches
SFC, 10-Nov-2004
SFC suspends Mr Kenny Ho Yui Kwong for 6 months for misleading the SFC
SFC, 24-Oct-2003
SFC publicly reprimands BNP Prime Peregrine Securities Ltd
SFC, 13-Mar-2000
For settlement issues after the HK Government's stock market buying blitz of 28-Aug-1998.

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