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Disciplinary Sanctions

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blue_bullet Disciplinary Sanctions published before 1 January 2021 can be found here
Date Company/Name Sanctions Details
13 May 2021 Mr Ke Wen Tuo Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Mr W T Ke’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.  
News Release

Statement of Disciplinary Action
13 May 2021 Mr Ke Ji Xiong Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Mr J X Ke’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
13 May 2021 Mr Cao Xu Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Mr Cao’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
13 May 2021 Ms Lian Bi Yu Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Ms Lian’s wilful and/or persistent failure to discharge her responsibilities under the Exchange Listing Rules, had the Company remained listed, her retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
13 May 2021 Mr Zhang Guo Duan Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Mr G D Zhang’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
13 May 2021 Mr Zhang Dao Pei Breach of Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of Mr D P Zhang’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
14 April 2021 China Tangshang Holdings Limited Breaches of MLRs 13.13, 13.15, 14.34 and 14.40

Sanction: public censure
News Release

Statement of Disciplinary Action
14 April 2021 Mr Zhou Hou Jie Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
14 April 2021 Mr Chen Wei Wu Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
7 April 2021 My Heart Bodibra Group Limited Breaches of GLRs 19.34, 20.32, 20.33, 20.34, 20.37 and 20.44

Sanction: public censure
News Release

Statement of Disciplinary Action
7 April 2021 Mr Chan Lin So Alan Breaches of GLRs 5.01(2), (4), (5), (6), 5.20 and Director’s Undertaking

Sanction: public censure with a statement that, by reason of Mr Chan’s persistent failure to discharge his responsibilities under the GEM Listing Rules, had he remained in office, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
7 April 2021 Mr Yiu Koon Pong Breaches of GLRs 5.01(2), (4), (5), (6) and Director’s Undertaking

Sanction: public censure with a statement that, by reason of Mr Yiu’s persistent failure to discharge his responsibilities under the GEM Listing Rules, had he remained in office, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 China Yu Tian Holdings Limited (delisted) Breaches of GLRs 6A.19, 6A.23, 17.55A, 20.33 and 20.34

Sanction: public censure
News Release

Statement of Disciplinary Action
30 March 2021 Ms Wang Xue Mei Breaches of GLR 5.01(4) to (6), 5.20 and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Ms Wang’s wilful and/or persistent failure to discharge her responsibilities under the GEM Listing Rules, had the Company remained listed, her retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Wang Jin Dong Breaches of GLR 5.01(4) to (6) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Wang’s wilful and/or persistent failure to discharge his responsibilities under the GEM Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Cheng Bo Breaches of GLR 5.01(6) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Cheng’s wilful and/or persistent failure to discharge his responsibilities under the GEM Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Wang Zhong Hua Breaches of GLR 5.01(6) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Wang’s wilful and/or persistent failure to discharge his responsibilities under the GEM Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Tang Xi Guang Breaches of GLR 5.01(6) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Tang’s wilful and/or persistent failure to discharge his responsibilities under the GEM Listing Rules, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Zhao Hai Bo Breaches of GLR 5.01(6) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Zhao’s wilful and/or persistent failure to discharge his responsibilities under the GEM Listing Rules, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
30 March 2021 Mr Huang Zhi Wei Breaches of GLR 5.01(6) and Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
29 March 2021 Coslight Technology International Group Limited Breaches of MLRs 14.34, 14.48, 14.49, 14.51 and 14A.35

Sanction: public censure
News Release

Statement of Disciplinary Action
29 March 2021 Mr Song Dian Quan Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
29 March 2021 Ms Luo Ming Hua Breach of Director’s Undertaking

Sanction: public censure 
News Release

Statement of Disciplinary Action
29 March 2021 Mr Li Ke Xue Breach of Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
29 March 2021 Mr Xing Kai Breach of Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
29 March 2021 Mr Liu Xing Quan Breach of Director’s Undertaking

Sanction: public censure 
News Release

Statement of Disciplinary Action
29 March 2021 Mr Zhang Li Ming Breach of Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
29 March 2021  Dr Gao Yun Zhi Breach of Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
29 March 2021 Mr Li Zeng Lin Breach of Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
29 March 2021 Ms Zhu Yan Ling Breach of Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
29 March 2021 Mr Xiao Jian Min Breach of Director’s Undertaking

Sanction: public criticism
News Release

Statement of Disciplinary Action
17 February 2021 Mr Lin Qing Xiong Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Lin’s wilful failure to discharge his obligations under the Exchange Listing Rules and the Best Ability Undertaking, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
17 February 2021 Mr Qiu Zhi Qiang Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Qiu’s wilful failure to discharge his Undertaking to Cooperate, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
17 February 2021 Mr Deng Qing Hui Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public censure
News Release

Statement of Disciplinary Action
17 February 2021 Mr Chan Sui Wa Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public criticism
News Release

Statement of Disciplinary Action
17 February 2021 Mr Ma Chong Qi Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public criticism
News Release

Statement of Disciplinary Action
17 February 2021 Mr Yu Yu Bin Breaches of MLR3.08(f) and Director’s Undertakings

Sanction: public criticism
News Release

Statement of Disciplinary Action
8 February 2021 Mr Ha Chuen Yeung Breaches of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Ha’s failure to discharge his responsibilities under the GEM Listing Rules, had Mr Ha remained on the board of directors of Inno-Tech Holdings Limited, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
8 February 2021 Mr He Xiao Ming Breaches of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr He’s failure to discharge his responsibilities under the Exchange Listing Rules, had Mr He remained on the board of directors of Teamway International Group Holdings Limited, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
8 February 2021 Ms Xie Yan Breaches of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Ms Xie’s failure to discharge her responsibilities under the Exchange Listing Rules, had Ms Xie remained on the board of directors of Teamway International Group Holdings Limited, her retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
3 February 2021 Brightoil Petroleum (Holdings) Limited (delisted) Breaches of MLRs 2.13(2), 13.06(2) and 13.24A

Sanction: public censure
News Release

Statement of Disciplinary Action
3 February 2021 Mr Tang Bo Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Tang’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
3 February 2021 Mr Dai Zhu Jiang Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Dai’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
3 February 2021 Mr Zhao Li Guo Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Zhao’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
3 February 2021 Mr Wang Tian Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Wang’s wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had the Company remained listed, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
1 February 2021 Hosa International Limited Breach of MLR 2.12A

Sanction: public censure
News Release

Statement of Disciplinary Action
1 February 2021 Mr Shi Hong Liu Breach of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
1 February 2021  Mr Shi Hong Yan Breach of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
1 February 2021  Mr Shi Zhi Xiong Breach of Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained on the board of directors of the Company, his retention of office would have been prejudicial to the interests of investors.
News Release

Statement of Disciplinary Action
1 February 2021  Mr Yao Ge Breach of Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
1 February 2021  Mr He Wen Yi Breach of Director’s Undertaking

Sanction: public censure
News Release

Statement of Disciplinary Action
22 January 2021 Sandmartin International Holdings Limited Breaches of MLRs 2.13(2), 14.34 and 14A.35

Sanction: public censure
News Release         

Statement of Disciplinary Action 

22 January 2021 Mr Hung Tsung Chin Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public censure
News Release         

Statement of Disciplinary Action            
22 January 2021 Ms Chen Mei Huei Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public censure
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Liao Wen I Tiger Director’s Undertaking

Sanction: public censure
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Frank Karl-Heinz Fischer Director’s Undertaking

Sanction: public criticism
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Chen Wei Chun Director’s Undertaking

Sanction: public criticism
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Wu Chia Ming Director’s Undertaking

Sanction: public criticism
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Han Chien Shan Director’s Undertaking

Sanction: public criticism
News Release         

Statement of Disciplinary Action            
22 January 2021 Mr Lee Chien Kuo Thomas Director’s Undertaking

Sanction: public criticism
News Release         

Statement of Disciplinary Action            
8 January 2021 Xinming China Holdings Limited Breaches of MLRs 14.34, 14.38A, 14.40 and 14.41

Sanction: public criticism
News Release


Statement of Disciplinary Action
8 January 2021 Mr Chen Cheng Shou Breaches of MLR 3.08(f) and Director’s Undertaking

Sanction: public criticism
News Release


Statement of Disciplinary Action