CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
SFC censures CLSA, CITIC Securities Brokerage and Beijing Enterprises (0392) and various staff
SFC, 30-Dec-2019
For pre-arranging share buybacks and then passing them through the market, in effect preventing other shareholders from participating in the "on-market" buybacks.
SFC, 30-Dec-2019
For pre-arranging share buybacks and then passing them through the market, in effect preventing other shareholders from participating in the "on-market" buybacks.
SFC bans Liu Hsiang Wen for 8 months
SFC, 25-Jan-2016
She failed to disclose a Taiwan criminal conviction to the SFC and to Bank of East Asia when applying for a new job. She was convicted on 10-Aug-2010 but carried on working for CITIC Securities in HK until 1-Jun-2012, then BEA until 8-Sep-2014.
SFC, 25-Jan-2016
She failed to disclose a Taiwan criminal conviction to the SFC and to Bank of East Asia when applying for a new job. She was convicted on 10-Aug-2010 but carried on working for CITIC Securities in HK until 1-Jun-2012, then BEA until 8-Sep-2014.
Chun Sing (2277) controller sells 60m shares (5.83%) @$1.3838
| CCASS movement
Company announcement, 30-Jul-2015
That cuts the founders' holding from 75% to 69.17%. The shares moved from the placing agent, Sino Wealth Securities, to CITIC Securities on the settlement date.
Company announcement, 30-Jul-2015
That cuts the founders' holding from 75% to 69.17%. The shares moved from the placing agent, Sino Wealth Securities, to CITIC Securities on the settlement date.
Former licensee convicted of providing SFC false or misleading information
| FINRA settlement
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
SFC suspends Mr Andy Lui Hing Yip for 9 months over unlicensed activities in his Wanchai branch
SFC, 12-Jan-2012
SFC, 12-Jan-2012
SFC bans Mr Man Bun Mo for 5 months for paying unlicensed person to perform regulated activities
SFC, 11-Aug-2011
SFC, 11-Aug-2011
Mr Wong Sai Lai suspended for 4 months for paying unlicensed person to perform regulated activities
SFC, 4-Aug-2011
SFC, 4-Aug-2011
SFC suspends Mr Chow Kin Yuen for 2 months for breaches of Code of Conduct and staff policies of CITIC Capital Securities Ltd
SFC, 1-Nov-2005
SFC, 1-Nov-2005
SFC reprimands CITIC Capital Securities Ltd for taking up rights issue without clients' consent, initially keeping the gains; suspends directors
SFC, 15-May-2003
SFC, 15-May-2003
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