KGI ASIA LIMITED 凱基證券亞洲有限公司
SFC bans Ho Pak Hay, ex-KGI, forever
| Statement of Disciplinary Action
SFC, 19-May-2022
For taking money from 3 clients and gambling it away on horses and soccer rather than investing it, then issuing dud cheques to one of them.
SFC, 19-May-2022
For taking money from 3 clients and gambling it away on horses and soccer rather than investing it, then issuing dud cheques to one of them.
SFC freezes accounts at 15 brokers in suspected social media pump & dump
SFC, 15-Mar-2021
Can anyone guess the stock?
SFC, 15-Mar-2021
Can anyone guess the stock?
SFC freezes accounts in suspected social media pump & dump
| CCASS movements
SFC, 18-Feb-2021
They don't name the stock, but Webb-site can tell you it's probably Macau E&M (1408) which listed at $1.00 on 11-Sep-2020 and closed at $4.36 on 25-Nov-2020 before crashing 81.9% the next day. See the movements in our CCASS Analysis System.
SFC, 18-Feb-2021
They don't name the stock, but Webb-site can tell you it's probably Macau E&M (1408) which listed at $1.00 on 11-Sep-2020 and closed at $4.36 on 25-Nov-2020 before crashing 81.9% the next day. See the movements in our CCASS Analysis System.
SFC freezes a corporate officer's assets, seeks HK$252m compensation for Listco
SFC, 27-Sep-2019
The man has accounts worth HK$32.4m at KGI Asia Ltd as at 30-Jun-2019. The SFC plans to sue 6 officers of the unnamed listed company, including the man, for compensation for breach of duties to the Listco. UPDATE 8-Oct-2019: the listco is Perfect Optronics (8311) and the man is its Chairman, Cheng Wai Tak.
SFC, 27-Sep-2019
The man has accounts worth HK$32.4m at KGI Asia Ltd as at 30-Jun-2019. The SFC plans to sue 6 officers of the unnamed listed company, including the man, for compensation for breach of duties to the Listco. UPDATE 8-Oct-2019: the listco is Perfect Optronics (8311) and the man is its Chairman, Cheng Wai Tak.
Broker acquitted again of illegal short selling
SFC, 25-Jul-2018
Mr Wong Hung was acquitted 4 years ago by a different magistrate, David Chum Yau Fong. The SFC appealed to the Court of First Instance, which ordered a retrial, stating that "no reasonable magistrate…would have reached the same conclusion". This time, Magistrate Li Chi Ho reached the same conclusion.
SFC, 25-Jul-2018
Mr Wong Hung was acquitted 4 years ago by a different magistrate, David Chum Yau Fong. The SFC appealed to the Court of First Instance, which ordered a retrial, stating that "no reasonable magistrate…would have reached the same conclusion". This time, Magistrate Li Chi Ho reached the same conclusion.
SFC fines Lau Ki Fung, ex-KGI Asia, HK$80k for failure to keep order records
SFC, 12-Jun-2018
He is now a representative of Caitong International Securities.
SFC, 12-Jun-2018
He is now a representative of Caitong International Securities.
Court orders re-trial after allowing SFC’s appeal in illegal short selling case
| Judgment (Chinese)
SFC, 27-Dec-2017
SFC, 27-Dec-2017
SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
SFC v Lam Fai Man (fka Lin Huiwen)
HK Court of First Instance, 8-Dec-2015
Mr Lam loses his appeal of conviction for failing to file disclosures of interests with the company (although filings were made with SEHK). He was Deputy Chairman of Victory Group (1139) until 7-Jun-2013 when his re-election was vetoed at the AGM. We have no evidence that he resigned in Apr-2013 as stated in paragraph 82(4) and 82(15) of the judgment.
HK Court of First Instance, 8-Dec-2015
Mr Lam loses his appeal of conviction for failing to file disclosures of interests with the company (although filings were made with SEHK). He was Deputy Chairman of Victory Group (1139) until 7-Jun-2013 when his re-election was vetoed at the AGM. We have no evidence that he resigned in Apr-2013 as stated in paragraph 82(4) and 82(15) of the judgment.
Ex-KGI staffer jailed for 3 years for accepting HK$1.1m bribes
ICAC, 10-May-2013
See also the SFC's press release of 7-May-2013 with our notes.
ICAC, 10-May-2013
See also the SFC's press release of 7-May-2013 with our notes.
SFC bans Andy Pau Chin Hung for 10 years
SFC, 7-May-2013
The obvious question: which former Chairman of which listed company was Mr Pau helping to dump shares? A 5% commission for secrecy and about $22m of shares were involved. Update: on 10-May the ICAC announced Pau's increased sentence for bribery. The listed company was Warderly (0607). It does not name the former Chairman, Yeung Kui Wong, but a middle-man, Derrick Luu Hung Viet. Disclosures show that Yeung sold 30m shares @$0.415 to Luu on 21-Mar-2007 and 20m shares off-market on 16-Apr-2007 @$0.455.
SFC, 7-May-2013
The obvious question: which former Chairman of which listed company was Mr Pau helping to dump shares? A 5% commission for secrecy and about $22m of shares were involved. Update: on 10-May the ICAC announced Pau's increased sentence for bribery. The listed company was Warderly (0607). It does not name the former Chairman, Yeung Kui Wong, but a middle-man, Derrick Luu Hung Viet. Disclosures show that Yeung sold 30m shares @$0.415 to Luu on 21-Mar-2007 and 20m shares off-market on 16-Apr-2007 @$0.455.
Mr Chan Yuk Hing, ex-KGI Asia Ltd, convicted of market manipulation in Multifield (0898)
SFC, 26-Jan-2012
SFC, 26-Jan-2012
KGI Asia Ltd agrees with SFC to repurchase Minibonds from its clients at original value
SFC, 5-Apr-2009
SFC, 5-Apr-2009
SFC suspends Raymond Wong Ping Chung for 4 months for account opening failings, unauthorised dealing and facilitating unregistered dealing
SFC, 22-Apr-2004
SFC, 22-Apr-2004
SFC suspends Mr Anthony Yung for 1 month for failings in supervising branch operations at KGI
SFC, 28-Jan-2004
SFC, 28-Jan-2004
SFC suspends Mr Frank Ko Ka Keung for 2 months for deceiving employer in account opening
SFC, 28-Jan-2004
SFC, 28-Jan-2004
SFC suspends Mr Richard Fan Yee Wai for 1 year for misleading SFC, deceiving employer and other breaches
SFC, 17-Oct-2003
SFC, 17-Oct-2003
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