CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED 京華山一證券(香港)有限公司

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 suspends Mak Kan Long for 4 months
SFC, 13-May-2010

SFC suspends Mr Yeung Ching Kwong for 9 months
SFC, 1-Feb-2010

SFC suspends Mr Ho Leuk Ming for 4 months
SFC, 16-Apr-2009

SFC bans Mr Ku Kam Lung for 9 months
SFC, 27-Oct-2008

SFC fines Core Pacific-Yamaichi HK$6.45m
SFC, 17-Apr-2008

10-month suspension for Mr Kenneth Luk Kam Kwong
SFC, 8-Jan-2008

SFC suspends Mr Lau Wai Lun for 15 weeks for client account failings
SFC, 28-Jul-2004

SFC suspends Ms Sy Pan Pan for 3 months for account opening failings
SFC, 28-Jul-2004

SFC reprimands Mr Jimmy Mak Chun Sang
SFC, 28-Jun-2001

SFC reprimands Mr Alex Lee Ming Yin
SFC, 28-Jun-2001

SFC prosecutes David Cheung Hon Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 9-Jun-2000

SFC prosecutes Chan Yiu Lun for unregistered dealing at Core Pacific-Yamaichi
SFC, 28-Mar-2000

SFC suspends Ms Hui Shan Shan, ex-Core Pacific Yamaichi, for 4 months for reckless recommendations
SFC, 10-Feb-2000

SFC prosecutes Lo Ming Chung for unregistered dealing
SFC, 14-Dec-1999

SFC prosecutes Cheung Chi Ming & Foo Kwok Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 23-Nov-1999

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

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