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SFC censures CLSA, CITIC Securities Brokerage and Beijing Enterprises (0392) and various staff

SFC, 30-Dec-2019

For pre-arranging share buybacks and then passing them through the market, in effect preventing other shareholders from participating in the "on-market" buybacks.

Organisations

• BEIJING ENTERPRISES HOLDINGS LIMITED 北京控股有限公司
• CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
• CLSA LIMITED 中信里昂證券有限公司

People

• Lau, Eddy Ka Yip 劉家業
• Lau, King Yuen 劉敬元
• Li, Stephanie 李培芬
• Tung, Eric Woon Cheung 董渙樟
• Walters, Andrew James (SFC:AOT505)
• Wilson, Stuart Richard (SFC:ALZ457)

Topics

• Share buybacks

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