KGI FUTURES (HONG KONG) LIMITED 凱基期貨(香港)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 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.
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.
SFC suspends Mr Frank Ko Ka Keung for 2 months for deceiving employer in account opening
SFC, 28-Jan-2004
SFC, 28-Jan-2004
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