SFC bans Joseph Hsu Kar Hing, ex-Standard Chartered Securities, for 3 years
SFC, 17-Jul-2018
Comment: this probably relates to the China Forestry listing, jointly sponsored with UBS. Mr Hsu abandoned his appeal to the Securities and Futures Appeals Tribunal on 6-Jul-2018. The appeals by the two sponsors are set to be heard in March 2019.
SFC takes former CEO and Chairman of China Forestry (delisted) to Market Misconduct Tribunal
SFC, 28-Jun-2018
SFC fines UBS HK$4.5m in relation to facilitation trading activities
SFC, 21-Mar-2018
Ex-UBS associate director Tu Bing gets 3.5 years for HK$1.46m bribery
ICAC, 16-Nov-2017
Ex-UBS associate director Tu Bing convicted of HK$1.46m bribery
ICAC, 27-Oct-2017
The ICAC describes UBS AG Hong Kong Branch as a "foreign" investment bank. We're not sure what point they are trying to make. By the same token HSBC could be described as "foreign" as it is incorporated in the UK with a head office in London. Tu Bing was convicted for fleecing a Shenzhen-based asset management customer for 20% of his trading gains.
Ex-associate director of UBS charged with HK$1.5m bribery
ICAC, 29-Mar-2017
He is alleged to have charged a personal 20% performance fee without his employer's consent
China Money Recycling
A graphic from this week's judgment on China Metal Recycling (0773) seems strangely familiar. (14-Mar-2015)
SFC obtains court order to wind up China Metal Recycling (0773)
SFC, 26-Feb-2015
...and there goes HK$11.09bn of market capitalisation - it will be interesting to see how much of the last reported net assets of $7.10bn (30-Jun-2012) the liquidators are able to find. It's fairly safe to say that the sponsors, UBS and China Merchant Securities, are going to face an investigation by the SFC.
SFC fines Yue Siying, of UBS, HK$400k for negligence
SFC, 4-Nov-2014
SFC fines Winnie Pang Wai Yan of UBS HK$120k for negligence
SFC, 14-Aug-2014
UBS probe to focus on banker's dealings with state firm
South China Morning Post, 19-Apr-2014
Webb-site notes that Helen Yang Lijuan was a licensed representative of Credit Suisse (HK) Ltd from 11-Aug-2009 to 22-Mar-2012. Credit Suisse was the joint sponsor of the re-flotation of China Resources Cement (1313) in a prospectus dated 21-Sep-2009.
China Resources chairman Song Lin investigated for graft after journalist's accusations
South China Morning Post, 17-Apr-2014
UBS orders internal probe as banker is named in affair, graft allegations against state firm chairman
South China Morning Post, 16-Apr-2014
SFC fines UBS HK$1.6m for regulatory breaches
SFC, 21-May-2013
SFC fines three UBS employees HK$1.8m
SFC, 2-Jun-2010
SFC suspends Ms Lillian Liu Yaying for 6 months
SFC, 17-Aug-2009
The other bank was UBS AG.
Secretary for Justice v Li Man Tak, Louis Lin Chak Pui & Adrian Foo Tiang Hock
HK Court of Appeal, 26-Apr-2007

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