Articles: Front-running

SFAT upholds SFC decision to revoke licence of Ricky Li Kwok Wah for front-running
SFC, 12-Sep-2008
SFC revokes licence of Leo Wong Shu Cheung for front-running
SFC, 4-Sep-2008
SFC revokes licences of Mr Chung Yu Kit & Mr Ding Lai Leung, fines Ding HK$128k for front-running
SFC, 4-Jan-2008
SFC revokes licence of Simon Tam Siu Ki for rat trading and other trading malpractices
SFC, 30-Oct-2003
SFC suspends Mr Kwok Wai Keung for 12 months for front running
SFC, 6-May-2003
SFC suspends Mr Andy Wong Kwok On, Mr Geoffrey Ng, Mr Chan Kwok Wai and Mr Li Chi Chiu for front-running
SFC, 24-Jul-2000
SFC suspends Mr Lam Ying Chi for 10 months for front-running
SFC, 1-Jun-2000
SFC reprimands Chung Nam Securities Limited for allowing front-running and naked short-selling
SFC, 20-Apr-2000
SFC reprimands Mr Tsui Moon Kwong of Core Pacific-Yamaichi for front-running and naked short-selling in girlfriend's account
SFC, 21-Oct-1999
SFC revokes registrations of Mr Sung Wah Ting, ex-Shun Loong, for front-running
SFC, 10-Aug-1999
SFC reprimands Ms Chan Yuen Yee trading as Tai Shing Stock Investment Co, SEHK censures and fines her HK$40k
SFC & SEHK, 15-Jun-1999
SFC suspends Mr Fu Yuen Hung for 10 months for front-running
SFC, 12-Feb-1999
Registrations of Ms Eleanor Sak revoked
SFC, 31-Dec-1998
SFC revokes registration of Alfred Li Hon Hung for front-running
SFC, 17-Dec-1998
SFC reprimands Kerry Yick Chi Kin
SFC, 3-Dec-1998
SFC revokes Mr Ip Chi Keung & suspends Mr Mak Hon Keung, representatives of Cheer Pearl Investment Ltd
SFC, 8-Oct-1998
Action against ASG Brokerage Ltd and its former MD Tran Dinh (aka Brian Chen)
SFC & SEHK, 16-Sep-1998
Action against Cheer Pearl Investment Ltd and Mr Alfred Chan Sze Loon
SFC & SEHK, 16-Sep-1998
SFC suspends Mr Tang Siu Lap for 2 years for short-selling and front-running
SFC, 27-Aug-1998
Action against Ping On Securities Ltd and staff
SFC & SEHK, 28-Jul-1998
SFC suspends Mr Chan Kwai Ming of Yicko Securities for 2 years for front-running
SFC, 9-Jul-1998
SFC reprimands Mr Hung Hin Shiu, trading as Hung's Co, for failing to supervise traders who were front-running
SFC, 2-Jul-1998
Action against CAF Securities Ltd & directors
SFC & SEHK, 24-Jun-1998
SFC suspends Mr Lee Hon Ming, Mr Yau Lap Kan and Ms Law Hing Chun for 16 months for facilitating front-running
SFC, 31-Mar-1998
Censure of 7 dealer's representatives for front-running
SFC & SEHK, 6-Mar-1998
Appeals Tribunal upholds decision to suspend Mr Mak Chung Kong for 3 years for front-running & short-selling
SFC, 5-Jan-1998
SFC suspends Ms Mimi Tsang Lai Wah for 3 months for front-running & short-selling
SFC, 20-Nov-1997
SFC suspends Mr Chu King Kau for 2 years for front-running and short-selling
SFC, 4-Sep-1997
SFC suspends Prudential Brokerage representatives for front-running
SFC, 19-Jun-1997
SFC takes action against Many Fair Securities Co and its staff for front-running
SFC, 1-May-1997

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