Articles: Broker failures

SFC revokes license of Union Securities Ltd, bans its absent leaders forever
SFC, 24-Jul-2014
HLB Hodgson Impey Cheng & others v HKICPA
HK Court of Final Appeal, 26-Jul-2013
HKSAR v Fong Shik Yee: reasons for sentence
HK District Court, 29-Jan-2013
Re MF Global Hong Kong Ltd
HK Court of First Instance, 4-Oct-2012
Re C.A. Pacific Securities Ltd liquidators' fees
HK Court of First Instance, 28-Aug-2012
Re C.A. Pacific - liquidator fees
HK Court of First Instance, 28-Aug-2012
Re MF Global Hong Kong Ltd - 2nd payout, HK$400m
HK Court of First Instance, 15-May-2012
Re MF Global Hong Kong Ltd
HK Court of First Instance, 7-May-2012
On payment of liquidiators' and agents fees in advance of taxation.
Re MF Global Hong Kong Ltd
HK Court of First Instance, 15-Dec-2011
At last, the clients get some of their money back : $500m out of $1.2bn. This decision took 56 days to publish online.
Re MF Global Hong Kong Ltd
HK Court of First Instance, 29-Nov-2011
The judge rules that the court can hear an urgent petition before it can be issued by the Registrar because the Registrar is closed.
HLB Hodgson Impey Cheng & others v HKICPA
HK Court of Appeal, 17-Nov-2011
SFC issues Variation Notice on MF Global Hong Kong Ltd
SFC, 15-Nov-2011
MF Global Hong Kong Ltd granted extension to resolve clients' positions
SFC, 10-Nov-2011
SFC gives consent to MF Global Hong Kong Ltd to conduct certain activities
SFC, 4-Nov-2011
SFC issues Restriction Notice on MF Global Hong Kong Ltd
SFC, 1-Nov-2011
HLB Hodgson Impey Cheng & others v HKICPA
HK Court of Appeal, 1-Aug-2011
HLB Hodgson Impey Cheng & others v HKICPA
HK Court of First Instance, 10-Aug-2010
Tiffit Securities (Hong Kong) Ltd v Fong Shik Yee & Kwok Wood Yan
HK Court of First Instance, 30-Sep-2009
Re C.A. Pacific Securities Limited winding up
HK Court of First Instance, 24-Jul-2009
Messrs. Christopher Law Siu Kong, Wu Chun Kit (fka Wu Chi Wing) & Choi Tsz Ming jailed for conspiracy to defraud
SFC, 10-Mar-2008
Three men jailed for HK$32m securities fraud
HK Police, 10-Mar-2008
Re Tiffit Securities (Hong Kong) Ltd
HK Court of First Instance, 29-Jan-2008
Christopher Law Siu Kong convicted of conspiracy to defraud
SFC, 19-Nov-2007
Kwok Wood Yan, director of Tiffit Securities (Hong Kong) Ltd, jailed; wife missing
RTHK, 29-Aug-2007
SFC revokes & bans Ms Fong Shik Yee forever
SFC, 29-Aug-2007
Re: winding up of Tiffit Securities (Hong Kong) Ltd
HK Court of First Instance, 15-Jun-2007
Bankruptcy of Lam Kwan Kit trading as Ying Kit Stock Co
HK Court of First Instance, 22-May-2007
"the bankrupt disappeared following an investigation by the Securities and Futures Commission in 2002...The bankruptcy order was made on 9 July 2003..."
SFC petitions court for winding up of Tiffit Securities (Hong Kong) Ltd
SFC, 2-Mar-2007
SFC revokes licence of Mr Kwok Wood Yan and bans him forever
SFC, 28-Feb-2007
Three jailed for securities fraud
HK Government, 2-Feb-2007
Mr Cheung Yum Hoi, Mr Choi Tsz Ming & Ms Fung Yuen Kwan jailed for misappropriation
SFC, 2-Feb-2007
Re Tiffit Securities (Hong Kong) Ltd
HK Court of First Instance, 19-Jan-2007
Official Receiver v Mr Chan Kwong Hung
HK Court of First Instance, 5-Dec-2006
HKSAR v Chan Kwong Hung & Farther Lau Kwok Ming
HK Court of Appeal, 4-Dec-2006
SFC v Tiffit Securities (Hong Kong) Ltd
HK Court of First Instance, 4-Oct-2006
Court continues interim mareva injunction against Mr Kwok Wood Yan and Ms Fong Shik Yee and orders disclosure by Mr Kwok
SFC, 8-Sep-2006
Notice inviting claims
SFC, 5-Sep-2006
Court issues interim mareva injunction against Mr Kwok Wood Yan and Ms Fong Shik Yee
SFC, 29-Aug-2006
Re C.A. Pacific Securities Ltd winding up: legal fees
HK Court of First Instance, 9-Aug-2006
Court continues administration and makes prohibition order against Mr Kwok Wood Yan
SFC, 28-Jul-2006
Administrator appointed for Tiffit Securities (Hong Kong) Ltd
SFC, 24-Jul-2006
Restriction Notice on Tiffit Securities (Hong Kong) Ltd
HK Gazette, 21-Jul-2006
Tiffit's collapse
We look at the collapse of Tiffit Securities and what lessons the SFC can learn from it. In our view, they should have shut this firm down and banned its operator 3 years ago, after a second regulatory offence and a criminal prosecution. The owner and his firms were also in trouble in Australia in 2001 and 2002 (21-Jul-2006)
SFC makes progress in inquiry into Tiffit Securities
SFC, 21-Jul-2006
SFC issues Restriction Notice on Tiffit Securities (Hong Kong) Ltd
SFC, 18-Jul-2006
Re Chark Fung Securities Co Ltd
HK Court of First Instance, 1-Dec-2005
Official Receiver v Jason Wong But Sit & others - disqualification proceedings
HK Court of First Instance, 21-Mar-2005
SFC revokes licence of Mr Chow Yuk Wah for misappropriation
SFC, 21-May-2004
Three ex-directors of C A Pacific barred from being company directors
HK Government, 5-Dec-2003
Reminder for claimants of C.A. Pacific Securities Ltd
SFC, 23-Oct-2003
SFC's subrogation rights concerning C. A. Pacific Securities Limited
SFC, 2-Sep-2003
Bankruptcy order against Christopher Law Siu Kong
SFC, 19-Mar-2003
Bankruptcy petition against Christopher Law Siu Kong
SFC, 22-Jan-2003
Re Chark Fung Securities Co Ltd
HK Court of First Instance, 20-Nov-2002
Re C.A. Pacific Securities Ltd examinations
HK Court of First Instance, 2-Sep-2002
Injunction on Christopher Law Siu Kong
SFC, 20-Jul-2002
Administrators appointed to Lawsons Securities Co
SFC, 18-Jul-2002
Former CA Pacific chief fails in bid to clear name
South China Morning Post, 28-Jun-2002
HKSAR v Jason Wong But Sit & Elizabeth Kong Suk Yee
HK Court of Appeal, 27-Jun-2002
Restriction Notice on Lawsons Securities Co
HK Gazette, 14-Jun-2002
SFC issues Restriction Notice on Lawsons Securities Co
SFC, 7-Jun-2002
Statement on Lawsons Securities Company
SFC, 3-Jun-2002
SFC appoints administrators of Teil Stock Investment Company
SFC, 8-May-2002
Court order to continue the administration of Ying Kit Stock Co
SFC, 8-Mar-2002
Reasons for SFC restriction notice on Teil Stock Investment Co
HK Gazette, 21-Feb-2002
SFC issues Restriction Notice on Teil Stock Investment Co
SFC, 21-Feb-2002
Court appoints administrators to Ying Kit Stock Co, police continue search for Mr Lam
SFC, 6-Feb-2002
HK$19m found in firm of missing broker, versus claims of HK$110m from 174 clients
South China Morning Post, 26-Jan-2002
Restriction notice issued on Mr Lam Kwan Kit trading as Ying Kit Stock Co
SFC, 24-Jan-2002
Payout to 52 clients of C.K. Securities Co
SFC, 21-Dec-2001
Re C.A. Pacific Securities Ltd
HK Court of First Instance, 6-Nov-2001
On whether third parties can be examined.
Re C.A. Pacific Securities Ltd
HK Court of First Instance, 31-Oct-2001
Partial payout to clients of Win Successful Securities Ltd.
SFC, 30-Aug-2001
Re: Forluxe Securities Ltd winding up
HK Court of First Instance, 7-Jul-2001
Chark Fung Securities Co Ltd v Chan Kwong Hung
HK Court of Appeal, 27-Mar-2001
Landmark ruling resolves share split
South China Morning Post, 21-Dec-2000
Re: Forluxe Securities Ltd winding up
HK Court of First Instance, 20-Dec-2000
Re C.A. Pacific Securities Ltd
HK Court of First Instance, 20-Dec-2000
Chark Fung Securities Co Ltd v Chan Kwong Hung
HK Court of First Instance, 22-Sep-2000
Chark Fung Securities Co Ltd v Ming Fung Goldsmith
HK Court of Appeal, 12-Jul-2000
Payouts from Unified Exchange Compensation Fund
SFC, 30-Jun-2000
Chark Fung Securities Co Ltd v Ming Fung Goldsmith
HK Court of First Instance, 24-Mar-2000
Judge asked to decide Forluxe share carve-up
South China Morning Post, 22-Feb-2000
Provisional liquidators appointed for Win Successful Securities Ltd
SFC, 28-Jan-2000
Partial payout to clients of C.A. Pacific Securities Ltd, Forluxe Securities Ltd & Chark Fung Securities Co Ltd
SFC, 24-Dec-1999
C.A. Pacific Securities compensation payments
SFC, 3-Aug-1999
Trio stole Forluxe millions, says writ
South China Morning Post, 13-Feb-1999
Partial payouts to clients of C. A. Pacific Securities Ltd and Forluxe Securities Ltd
SFC, 11-Feb-1999
Partial payout to clients of Cheong Woon Securities Co
SFC, 25-Jan-1999
C.A. Pacific Securities compensation payments
SFC, 9-Dec-1998
Forluxe brothers to aid liquidators
South China Morning Post, 30-Sep-1998
HKSAR v Daniel Lai Kwok Kuen
HK Court of Appeal, 29-Sep-1998
SFC withdraws restriction notices on Ming Fung group
SFC, 16-Jun-1998
Compensation arrangements for C.A. Pacific Securities clients
SFC, 2-Jun-1998
Provisional liquidators appointed for Ming Fung group
SFC, 26-May-1998
Restriction Notices issued on Ming Fung group
SFC, 25-May-1998
SFC moves to liquidate Forluxe
South China Morning Post, 8-May-1998
Provisional liquidators appointed for Forluxe Securities Ltd
SFC, 8-May-1998
SFC issues restriction notice on Forluxe Securities Ltd, owner missing
SFC, 7-May-1998
SFC Chairman Anthony Neoh's open letter re Peregrine & C.A. Pacific
SFC, 31-Jan-1998
Court appoints provisional liquidators to C.A. Pacific Securities Ltd
SFC, 20-Jan-1998
C.A. Pacific group companies undertake to refrain from business
SFC, 19-Jan-1998
Partial payout to clients of Wei Xin Securities Ltd
SFC, 19-Jun-1997
Claims invited from clients of C K Securities Co
SFC, 1-Dec-1996
Administrators appointed to C K Securities Co
SFC, 13-Nov-1996
Cheung Cheong Woon trading as Cheong Woon Securities Co
SFC, 24-Jul-1996

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