Articles: Unauthorised investment ads

CFA allows appeal of Pacific Sun Advisors Ltd & Andrew Pieter Mantel
SFC, 20-Mar-2015
Pacific Sun Advisors Ltd & Andrew Pieter Mantel v SFC
HK Court of Final Appeal, 20-Mar-2015
The appellants win. "There is nothing to suggest the legislative purpose of section 103(3)(k) is to protect retail investors from wasting their time or, alternatively, against having their investment appetites whetted." The CFA rules that if it can be shown that the issuer has adopted screening procedures to restrict the fund to "professional investors", then the exemption for advertisements "in respect of" such products applies, whether or not the advertisement makes the intent clear.
CFA grants leave to Andrew Pieter Mantel & Pacific Sun Advisors to appeal | CFA ruling
SFC, 30-Sep-2014
Pacific Sun Advisors Ltd and Andrew Pieter Mantel convicted of issuing unauthorized ads
SFC, 10-Jun-2014
Court of First Instance overturns acquittals, orders Magistrate to reconsider unauthorized advertisements case | Judgment
SFC, 27-Jan-2014
Magistrate convicts unlicensed adviser on futures contracts
SFC, 22-Aug-2013
Pacific Sun Advisors Ltd & director Andrew Pieter Mantel acquitted
SFC, 21-Mar-2013
Bullion agents Mr Lai Ka Ki & Mr Lam Yiu Kwan convicted of offering unauthorised gold scheme on Facebook
SFC, 31-Jan-2013
SFC pursues case against Pacific Sun over illicit ads
HK Standard, 7-Sep-2012
SFC commences criminal proceedings against Pacific Sun Advisors Ltd and Andrew Pieter Mantel for alleged unauthorised investment ads
SFC, 6-Sep-2012
Court of First Instance upholds conviction concerning fake fund
SFC, 14-Mar-2012
Mr Lo Chun Lam convicted of issuing an advertisement for unlicensed business
SFC, 5-May-2011
Mr Lau Kam To convicted of unlicensed advising and unauthorised advertising
SFC, 20-Apr-2011
Mr Ho Ka Ho & Mr Yeung Hoi Fan convicted of unlicensed advising and unauthorised advertising
SFC, 10-Mar-2011
RC Trading Education Ltd & Rickey Cheung Wing On convicted of issuing unauthorised advertisements
SFC, 17-Sep-2009
Suspended jail term and fine for unlicensed securities advice business
SFC, 24-Apr-2008
SFC prosecutes Chief Securities Ltd & Peter Chau Chung Kai for unauthorised advertisements
SFC, 27-Sep-2007
SFC requires/requests retraction of illegal shares offer
SFC, 13-Apr-2007
SFC fines Wilfred T. Fry (Personal Financial Planning) Ltd, Kevin John Coppard & Timothy John Rainsford for unauthorised investment promotion
SFC, 29-May-2006
SFC prosecutes Mr Bruce Chow Kwok Chung & Universal Funds and Asset Management Inc., unlicensed asset manager
SFC, 10-Nov-2005
SFC prosecutes Mr Tsoi Leung Po for unauthorised advertisements and unlicensed investment advising
SFC, 6-Jan-2005
SFC prosecutes Mr Ko Wai Yu for unauthorised advertisements and holding out as performing a regulated function
SFC, 14-Oct-2004
Mr Freeman Chan Wing Chuen sentenced to community service for breach of Protection of Investors Ordinance
SFC, 21-May-2004
SFC prosecutes CSF Consultancy Ltd & Mr Freeman Chan Wing Chuen under Securities Ordinance & Protection of Investors Ordinance
SFC, 10-May-2004
SFC prosecutes Mr Ng Man Wai and Raymond Chan Kwok Ho for unauthorised advertisements and Ng Man Wai for unregistered advisory business
SFC, 3-Jun-2003
SFC prosecutes Colliers International Agency Ltd, Piers Daniel Carlyle Brunner and Rosaline Lam Kar Yan for unauthorised Investment advertisements
SFC, 8-Apr-2003
SFC prosecutes Midland (China) Property Development Ltd for unauthorized investment advertisements
SFC, 14-Feb-2003
SFC prosecutes Hong Kong Characteristic Medicine (International Group) Co for unauthorised investment ads
SFC, 10-Sep-2002
The SFC did not say where HKCMC is incorporated, but it isn't registered in HK.
SFC prosecutes Joyplace Inc. & Mr Sidney Lin Chih Cheih for unauthorised investment advertisements
SFC, 9-Jul-2002
SFC prosecutes GlobaLinkAsia.com Ltd for promoting USA broker
SFC, 5-Jun-2002
SFC prosecutes LM Investment Management Hong Kong Ltd and Melanie Jane Nutbeam for unauthorised investment ads
SFC, 26-Feb-2002
SFC prosecutes Asia Network Base (HK) Ltd, Wallace Li Ka Yin, Paul Kam Chi Yin & Alrick Fung Tak Hoi for unauthorised investment ads
SFC, 25-Feb-2002
SFC prosecutes Crown Asset Management Ltd & Mrs Pauline Cousins
SFC, 24-Sep-2001
SFC prosecutes YourShare Holdings Corp for unauthorised investment advertisements
SFC, 22-Aug-2001
SFC reprimands TMT Financial Services Ltd
SFC, 17-May-2001
SFC suspends Mr Daryl Paul Evans of TMT Financial Services Ltd for 1 month
SFC, 22-Feb-2001
SFC suspends Ms Annette Michelle Houlihan & Mr Christopher Marshall of TMT Financial Services Ltd
SFC, 29-Jan-2001
SFC prosecutes Simmonds (International) Financial Associates Ltd for unauthorised investment advertisements on the web
SFC, 29-Aug-2000
SFC prosecutes Premier Capital Ltd & Mr Philip Leung Kin Lap for unauthorized investment advertisements
SFC, 15-Aug-2000
This follows a similar prosecution of the same persons in June.
SFC prosecutes Premier Capital Ltd & Mr Philip Leung Kin Lap for unauthorized investment advertisements
SFC, 26-Jun-2000
SFC prosecutes Tresidder Tuohy and Partners (HK) Ltd for unauthorised investment advertisements; magistrate reduces fines on individuals
SFC, 9-Nov-1999
SFC prosecutes Thomas Alexej Hall, Christopher John Parker, Neil Hamilton Pearce & Flora Tsang Tin Wai for unauthorised investment advertisements
SFC, 2-Nov-1999
SFC prosecutes Ms Cheung Ying Hung for the possession and issuance of unauthorised investment advertisements
SFC, 19-Aug-1999
The SFC picks some low-hanging fruit trees.
SFC prosecutes The Farm House Restaurant Ltd & Mr Chan Hing To for unauthorised investment advertisements
SFC, 3-Jun-1999

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