HSBC BROKING SECURITIES (ASIA) LIMITED 滙豐金融證券(亞洲)有限公司

Breaking: SFC freezes up to HK$10.17bn of assets in 3 brokers
Webb-site has deduced that these are assets of Mr Yang Zhihui, missing Chairman and majority shareholder of Landing (0582), and that he is reasonably suspected of fraud causing losses of HK$10.17bn to China Huarong (2799), the ex-Chairman of which is under a corruption investigation in China. We also turn the spotlight on China Goldjoy (1282) which was an enthusiastic buyer of Landing at prices far higher than its Chairman paid beforehand. (1-Oct-2018)
SFC fines HSBC HK$9.6m for regulatory breaches over bond sales
SFC, 19-Jul-2018
SFC bans Philip Leung Ming Yin, ex-HSBC, for 6 months
SFC, 20-Mar-2017
SFC bans Lam Yuk Wai, ex-HSBC, for life
SFC, 29-Dec-2016
His unauthorised trading and deception over 4 years cost HSBC HK$70m in compensation to 7 clients. HSBC has reported him to the police.
Hung Ching Wan v Kris Cheung Kwok Chiu
HK Court of First Instance, 9-Jun-2004
SFC reprimands Cheung Yuk Sheung & Kwan Wing On for breaching the Code of Conduct and the internal rules of employers
SFC, 17-Sep-2002

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