EMPEROR SECURITIES LIMITED (HK) 英皇證券有限公司

SFC restriction notices on certain shares of FingerTango Inc.
HK Gazette, 28-Apr-2023
The Statement of Reasons reveals that the order covers assets up to HK$258.75m, being the amount lost by FingerTango after a defaulted investment in Dec-2019. A total of over 1171m shares (60.64%) held via 3 brokers is frozen.
SFC orders 3 brokers to freeze accounts of clients involved in suspected corporate misconduct | Company announcement
SFC, 17-Apr-2023
This relates to pending litigation against 3 "current or former" management of FingerTango (6860) seeking orders for them to pay compensation to the company. Update: FingerTango has announced that certain assets of Mr Liu Jie and Mr Zhu Yanbin, co-founders and Executive Directors, have been frozen.
SFC fines Emperor Securities Ltd & Emperor Futures Ltd HK$5.4m for breaches of anti-money laundering requirements | Statement of Disciplinary Action
SFC, 16-Mar-2022
SFC restricts 17 accounts at Emperor Securities and Get Nice Securities linked to suspected social media ramp-and-dump scam | Restriction Notice
SFC, 26-Nov-2021
The Gazette Notice dated 1-Nov-2021 but published on 26-Nov-2021 reveals the stock is Chinlink (0997), which plunged 78% on 28-Oct-2021. The total restricted amount is HK$312.2m.
SFC suspends Mr Cheung Man Chit, ex-Emperor, for 2 years | Statement of Disciplinary Action
SFC, 30-Aug-2021
After Emperor Securities/ Futures, he moved on to Freeman Securities/ Commodities in 2017 and left them on 7-Jun-2021.
SFC freezes accounts at 15 brokers in suspected social media pump & dump
SFC, 15-Mar-2021
Can anyone guess the stock?
Ge Qingfu & others v L & A (8195) amd various directors
HK Court of First Instance, 17-Dec-2018
Huarong Inv Stock (2277) subscribes HK$100m loan notes of Master Glory (0275)
Company announcement, 24-Nov-2016
L & A (8195): 1.6bn options exercised | CCASS deposits
Company filing, 24-Aug-2016
The holders of these 10-year options all forfeited the time value and exercised them on the day that they were announced, 22-Aug, having been purportedly offered or granted on 22-Jul. The new shares were probably deposited into CCASS on 24-Aug and 25-Aug, via FP Sino-Rich Securities & Futures Ltd (1.4bn) and Emperor Securities Ltd (0.2bn).
SFC suspends Ko Cho Ting, of Emperor Securities, for 2 years
SFC, 3-Aug-2016
Emperor unclothed
Bloomberg, 30-May-2016
Kudos to Phil Kuntz and Fox Hu for their analysis of Emperor Capital's unidirectional recommendations.
Raking muck, Part 1
In the first of a multi-part series, we delve into a transaction by the HK offshoot of Xinhua, the PRC's official news agency, and the people behind it. (21-Feb-2012)
Emperor Securities Ltd v K&L Gates
HK Court of First Instance, 8-Feb-2012
Emperor Securities Ltd (owned by Emperor Capital, 0717) sues two clients and a law firm for return of HK$40m
Company announcement, 12-Jul-2011
The law firm is K&L Gates, and this may or may not relate to the charges against its former partner Navin Kumar Aggarwal for theft and forgery.
SFC fines Emperor Securities Ltd HK$130k
SFC, 30-Aug-2007
SFC fines Ms Liza Yan Yuk Hing HK$30k
SFC, 1-Mar-2007
SFC suspends Ms Ip Pui Lan of Tanrich Futures Ltd for 4 months
SFC, 22-Nov-2006
SFC reprimands Ms Vanessa Fan Man Seung
SFC, 15-Nov-2001
SFC suspends Mr Poon Pong Wah for 30 months
SFC, 12-Jul-2001
Commission trial leaves bribe riddle
South China Morning Post, 25-May-1997
Chen acquitted in bribe case
South China Morning Post, 20-May-1997
Chen Po-sum fought her way to the top - her latest battle was to stay there
South China Morning Post, 20-May-1997
Verdict expected soon in bribery case
South China Morning Post, 16-May-1997
Chen approach to colleagues denied
South China Morning Post, 13-May-1997
Chen says HK$600k was a big favour
South China Morning Post, 8-May-1997
Chen kept majority of seat 'fees'
South China Morning Post, 7-May-1997
Chen admits to charging Nomura 'extra' for seat
South China Morning Post, 6-May-1997
Chen's servant paid HK$200k as go-between
South China Morning Post, 30-Apr-1997
Court told exchange seats cash grey area
South China Morning Post, 29-Apr-1997
Exchange bribery trial told seat rules vague
South China Morning Post, 25-Apr-1997
Chen likened to traffic cop
South China Morning Post, 24-Apr-1997
Chen bribery case bound for Canada court
South China Morning Post, 10-Apr-1997

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