Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司
SFC fines Standard Chartered Secs HK$59.7m for sponsor failures
SFC, 14-Mar-2019
For the 2009 IPO of China Forestry (now delisted), which it jointly sponsored with UBS. Together they win our "can't see the wood OR the trees" award for epic due diligence. Notably no human at SCS is named as responsible.
SFC, 14-Mar-2019
For the 2009 IPO of China Forestry (now delisted), which it jointly sponsored with UBS. Together they win our "can't see the wood OR the trees" award for epic due diligence. Notably no human at SCS is named as responsible.
SFC bans Joseph Hsu Kar Hing, ex-Standard Chartered Securities, for 3 years
SFC, 17-Jul-2018
Comment: this probably relates to the China Forestry listing, jointly sponsored with UBS. Mr Hsu abandoned his appeal to the Securities and Futures Appeals Tribunal on 6-Jul-2018. The appeals by the two sponsors are set to be heard in March 2019.
SFC, 17-Jul-2018
Comment: this probably relates to the China Forestry listing, jointly sponsored with UBS. Mr Hsu abandoned his appeal to the Securities and Futures Appeals Tribunal on 6-Jul-2018. The appeals by the two sponsors are set to be heard in March 2019.
SFC takes former CEO and Chairman of China Forestry (delisted) to Market Misconduct Tribunal
SFC, 28-Jun-2018
SFC, 28-Jun-2018
Censure of Artini China (0789) and various directors
SEHK, 23-Aug-2011
For failing to announce when they knew on 11-Aug-2008, less than 2 months after the company was listed, that its profitability in the quarter to 30-Jun had collapsed. The stock listed at $2.22 and was brought to you by Cazenove Asia Ltd (now Standard Chartered Securities (HK) Ltd). It closed today at $0.175.
SEHK, 23-Aug-2011
For failing to announce when they knew on 11-Aug-2008, less than 2 months after the company was listed, that its profitability in the quarter to 30-Jun had collapsed. The stock listed at $2.22 and was brought to you by Cazenove Asia Ltd (now Standard Chartered Securities (HK) Ltd). It closed today at $0.175.
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