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Listing Enforcement Notices / Announcements

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Date Company/Name Sanctions LE Notice
13 May 2020 Kong Sun Holdings Limited Breaches of MLRs 13.13, 13.15, 13.46(2)(a), 13.49(1), 13.49(6), 14.34, 14.40 and 14.41

Sanction: public censure
 Click Here
13 May 2020 Mr Miu Hon Kit Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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13 May 2020 Mr Liu Wen Ping Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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13 May 2020 Mr Chang Hoi Nam Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure 
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13 May 2020 Dr Ma Ji Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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13 May 2020 Mr Chang Tat Joel Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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13 May 2020 Mr Lu Hong Da Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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13 May 2020 Mr Wang Hai Sheng Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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12 May 2020 Mr Zhang Yun Failure to comply with a direction made by the Committee

Sanction: public censure with a statement that, in the Exchange’s opinion, Mr Zhang does not satisfy the suitability requirements under Exchange Listing Rule 3.09 to act as a director of any issuer listed, or to be listed, on the Exchange.
 
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27 April 2020 Professor Kan Man Lok Paul Breach of MLR3.08(f)

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained in office, his retention of office would have been prejudicial to the interests of investors.
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27 April 2020  Mr Kan Kin Leung Leo Breach of MLR3.08(f)

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained in office, his retention of office would have been prejudicial to the interests of investors.
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27 April 2020 Mr Lai Yat Kwong Fred Breach of MLR3.08(f)

Sanction: public censure with a statement that in the Exchange’s opinion, had he remained in office, his retention of office would have been prejudicial to the interests of investors.
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27 April 2020 Ms Ha Suk Ling Shirley Breach of MLR3.08(f)

Sanction: public statement involving criticism
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27 April 2020 Mr Terry John Miller Breach of MLR3.08(f)

Sanction: public statement involving criticism
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27 April 2020 Mr Frank Bleackley Breach of MLR3.08(f)

Sanction: public statement involving criticism
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27 April 2020 Mr Lee Chi Wah Breach of MLR3.08(f)

Sanction: public statement involving criticism
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27 April 2020 Ms Ho Mo Han Miranda Breach of MLR3.08(f)

Sanction: public statement involving criticism
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22 April 2020 China Ding Yi Feng Holdings Limited Breaches of MLRs 13.49(1) and 13.46(2)

Sanction: public statement involving criticism
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22 April 2020  Mr Luk Hong Man Hammond Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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22 April 2020 Mr Zhang Xi Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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22 April 2020 Mr Yao Yuan Breaches of MLRs 13.51C, 3.08(a), 3.08(f), and Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of their wilful breaches of Rules 13.51C, 3.08(a) and/or Rule 3.08(f), had Mr Yao, Mr Z Yao and Mr Shi remained in office, their retention of office would have been prejudicial to the interests of investors; and a direction that should Mr Yao, Mr Z Yao and Mr Shi wish to become a director of any issuer listed or to be listed on the Exchange in the future, their conduct in this matter is to be taken into account in assessing their suitability.

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22 April 2020 Mr Yao Zhixiang Breaches of MLRs 13.51C, 3.08(f), and Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of their wilful breaches of Rules 13.51C, 3.08(a) and/or Rule 3.08(f), had Mr Yao, Mr Z Yao and Mr Shi remained in office, their retention of office would have been prejudicial to the interests of investors; and a direction that should Mr Yao, Mr Z Yao and Mr Shi wish to become a director of any issuer listed or to be listed on the Exchange in the future, their conduct in this matter is to be taken into account in assessing their suitability.
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22 April 2020 Mr Shi Minqiang Breaches of MLRs 13.51C, 3.08(f), and Director’s Undertaking

Sanction: public censure with a statement that, in the Exchange’s opinion, by reason of their wilful breaches of Rules 13.51C, 3.08(a) and/or Rule 3.08(f), had Mr Yao, Mr Z Yao and Mr Shi remained in office, their retention of office would have been prejudicial to the interests of investors; and a direction that should Mr Yao, Mr Z Yao and Mr Shi wish to become a director of any issuer listed or to be listed on the Exchange in the future, their conduct in this matter is to be taken into account in assessing their suitability.
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13 March 2020 Great Wall Belt & Road Holdings Limited Breaches of MLRs 2.13(2), 14.34, 14A.35, 14A.36, 14A.39 and 14A.46

Sanction: public censure
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13 March 2020 Mr Yeung Chun Wai Anthony Breaches of MLR3.08(d), (e), (f) and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of his wilful and/or persistent failure to discharge his responsibilities under the Exchange Listing Rules, had he remained in office, Mr A Yeung’s retention of office would have been prejudicial to the interests of investors.
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13 March 2020 Mr Chan Chi Yuen Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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13 March 2020 Mr Wong Xiang Hong Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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13 March 2020 Mr Yeung Chun Sing Standly Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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13 March 2020 Mr Fung Chan Man Alex Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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27 February 2020 Yorkshine Holdings Limited Breaches of MLRs 13.49(2), 14.34, 14A.34, 14A.35, 14A.36, 14A.39, 14A.46, 14A.49, 14A.53, 14A.55, 14A.56 and 14A.57

Sanction: public censure
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27 February 2020 Mr Chow Kin Wa Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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27 February 2020 Mr Yu Wing Keung Dicky Breaches of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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27 February 2020 Mr Foo Teck Leong Breach of Director’s Undertaking

Sanction: public censure
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27 February 2020 Mr Tang Chi Loong Breach of Director’s Undertaking

Sanction: public censure
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27 February 2020 Mr Chow Kin San Breach of Director’s Undertaking

Sanction: public statement involving criticism
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20 January 2020 Mr Liu Yan Chee James Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Huang Yi Lin Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Chan Shi Yin Keith Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Chan Yuk Sang Peter Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Zhang Xian Lin Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Kwok Hong Yee Jesse Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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20 January 2020 Mr Ng Ping Yiu Breaches of MLR3.08(f)

Sanction: public statement involving criticism
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30 December 2019 Mr Hu Guo An  Breaches of Rules A.3 and B.8 of Appendix 10 to the Exchange Listing Rules and Director’s Undertaking

Sanction: public censure with a public statement that, in the Exchange’s opinion, by reason of Mr Hu’s wilful and persistent failure to discharge his responsibilities under the Exchange Listing Rules, had Mr Hu remained in office, his retention of office would have been prejudicial to the interests of investors.  
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20 December 2019 Ding He Mining Holdings Limited Breach of MLR2.12A(2)

Sanction: public censure
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20 December 2019 Mr Wang Song Ling Breach of Director’s Undertaking

Sanction: public censure with a statement under Rule 2A.09(7) that in the Exchange’s opinion, the retention of office by Mr Wang Song Ling is prejudicial to the interests of investors.
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20 December 2019 Ms Fan Hai Juan Breach of Director’s Undertaking

Sanction: public censure with a statement under Rule 2A.09(7) that in the Exchange’s opinion, the retention of office by Ms Fan Hai Juan is prejudicial to the interests of investors.
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20 December 2019 Mr Liu Fa Breach of Director’s Undertaking

Sanction: public censure with a statement under Rule 2A.09(7) that in the Exchange’s opinion, the retention of office by Mr Liu Fa is prejudicial to the interests of investors.  
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11 December 2019 Artini Holdings Limited Breach of MLRs 13.46(2)(a) and MLR13.49(1)

Sanction: public censure
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2 December 2019 Mr Guo Xia William  Breach of GLR5.56(a)(ii) and Director’s Undertaking

Sanction: public statement involving criticism
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27 September 2019 Yashili International Holdings Limited Breach of MLRs 14A.35 and 14A.36

Sanction: public statement involving criticism
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20 September 2019 Mr Xiang Liang Breach of Settlement Agreement and the Committee’s Direction

Sanction: public censure with a statement that Mr Xiang does not satisfy the suitability requirements under Rule 3.09 to act as a director of any issuer listed, or to be listed, on the Exchange.
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6 September 2019 Shandong Molong Petroleum Machinery Company Limited Breach of MLR2.13(2)

Sanction: public censure
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6 September 2019 Mr Zhang En Rong Breach of MLRs 3.08(a), 3.08(f) and Director’s Undertaking

Sanction: public censure with a statement that had Mr ER Zhang remained in office, his retention of office would have been prejudicial to the interests of investors.
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6 September 2019 Mr Zhang Yun San Breach of MLRs 3.08(a), 3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Mr Yang Jin Breach of MLRs 3.08(a), 3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Mr Guo Huan Ran Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Mr Guo Hong Li Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Ms Wang Chun Hua Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Mr Lin Fu Long Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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6 September 2019 Mr John Paul Cameron Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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6 September 2019 Mr Xiao Qing Zhou Breach of Director’s Undertaking

Sanction: public statement involving criticism
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6 September 2019 Mr Qin Xue Chang Breach of Director’s Undertaking

Sanction: public statement involving criticism
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6 September 2019 Mr Zhang Jiu Li Breach of Supervisor’s Undertaking

Sanction: public censure
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6 September 2019 Mr Hao Liang Breach of Supervisor’s Undertaking

Sanction: public censure
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6 September 2019 Mr Fan Ren Yi Breach of Supervisor’s Undertaking

Sanction: public censure
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29 July 2019 Mr Ng Man Sun Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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29 July 2019 Ms Ng Wai Yee Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure 
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29 July 2019 Ms Yeung Pui Han Regina Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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29 July 2019 Mr Li Chi Fai Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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29 July 2019 Ms Sie Nien Che Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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29 July 2019 Mr Liang Jian Heng Breach of GLR13.16A(1)(b) and Undertaking

Sanction: public censure
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15 July 2019 China Regenerative Medicine International Limited Breach of GLRs 19.20, 19.34 and 19.40

Sanction: public censure
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15 July 2019 Mr Dai Yumin Breach of GLRs 5.01(6), 5.20 and Director’s Undertaking

Sanction: public censure
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15 July 2019 Ms Wang Yurong Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Wong Sai Hung Breach of GLRs 5.01(6), 5.20 and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Shao Zhengkang Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Prof Deng Shaoping Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Cao Fushun Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Yang Zhengguo Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Wang Jianjun Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Wang Hui Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Chan Bing Woon Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Lui Tin Nang Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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15 July 2019 Mr Pang Chung Fai Benny Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public statement involving criticism
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12 June 2019 Kiu Hung International Holdings Limited Breach of MLRs 13.46(2)(a), 13.49(1) and 13.49(2), and Appendix 16 of the Exchange Listing Rules

Sanction: public censure
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12 June 2019 Mr Hui Kee Fung Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Yu Won Kong, Dennis Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Zhang Qi Jun Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Zhang Yun  Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Cheung Man Loon, Michael Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr So Chun Pong, Ricky Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Wang Xiao Ning Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Dr Lau Siu Wa Breach of Director’s Undertaking

Sanction: public censure
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12 June 2019 Mr Suen Chun Hung, Benjamin Breach of Director’s Undertaking

Sanction: public censure
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17 May 2019 Weiqiao Textile Company Limited Breach of MLRs 13.46(2)(a), 13.49(1), 13.49(3)(i)(c), 14.34, 14A.35, 14A.36, 14A.46, 14A.49, 14A.55 and 14A.56

Sanction: public censure
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17 May 2019 Ms Zhang Hong Xia Breach of MLRs 3.08(d), 3.08(f) and Director’s Undertaking

Sanction: public censure
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 17 May 2019 Ms Zhao Su Wen Breach of MLRs 3.08(d), 3.08(f) and Director’s Undertaking

Sanction: public censure
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17 May 2019 Mr Zhang Jing Lei Breach of 3.08(f) and Director’s Undertaking

Sanction: public censure
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14 May 2019 GT Group Holdings Limited Breach of MLRs 2.12A(2), 14.34, 14.38A and 14.40

Sanction: public censure
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14 May 2019 Ms Ng Shin Kwan, Christine Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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14 May 2019 Mr Lee Yuk Fat Breach of Director’s Undertaking

Sanction: public censure
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14 May 2019 Mr Lee Jalen Breach of Director’s Undertaking

Sanction: public censure
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18 December 2018 Golden Meditech Holdings Limited Breach of MLRs 2.13, 14.34, 14.36, 14.38A, 14.40, 14.41, 14.48, 14.49, 14.51 and 14.74

Sanction: public censure
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18 December 2018 Mr Kam Yuen Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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18 December 2018 Mr Kong Kam Yu Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure
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18 December 2018 Mr Lu Tian Long Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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18 December 2018 Ms Zheng Ting Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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18 December 2018 Professor Gu Qiao Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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18 December 2018 Professor Cao Gang Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public statement involving criticism
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13 December 2018 Shenji Group Kunming Machine Tool Company Limited

Breach of MLR2.13(2)

Sanction: Public Censure

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13 December 2018 Mr Wang Xing Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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12 December 2018 Chen Xing Development Holdings Limited Breach of MLRs3A.23, 14.34, 14.38A and 14.40

Sanction: Public Censure
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12 December 2018 Mr Bai Xuan Kui Breach of Director’s Undertaking

Sanction: Public Censure
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12 December 2018 Mr Bai Wu Kui Breach of Director’s Undertaking

Sanction: Public Censure
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12 December 2018 Mr Bai Guo Hua Breach of Director’s Undertaking

Sanction: Public Censure
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12 December 2018 Mr Dong Shi Guang Breach of Director’s Undertaking

Sanction: Public Censure
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11 December 2018 L & A International Holdings Limited Breach of GLRs 23.05, 23.06A, 17.27A, 17.27B, 17.56(2) and 6A.23(1)

Sanction: Public Censure
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11 December 2018 Mr Ng Ka Ho Breach of GLRs 5.01(1), (2) & (6), 5.20(1) and Director’s Undertaking

Sanction: Public Censure
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11 December 2018 Mr Wong Chiu Po Breach of GLRs 5.01(1), (2) & (6) and Director’s Undertaking

Sanction: Public Censure
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11 December 2018 Mr Ma Chi Ming Breach of GLRs 5.01(1), (2) & (6) and Director’s Undertaking

Sanction: Public Censure
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11 December 2018 Mr Chan Ming Sun Jonathan Breach of GLRs 5.01(1), (2) & (6) and Director’s Undertaking

Sanction: Public Censure
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11 December 2018 Mr Kwong Lun Kei Breach of GLRs 5.01(1), (2) & (6) and Director’s Undertaking

Sanction: Public Censure
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30 October 2018 Sino Splendid Holdings Limited Breach of GLR17.56(2)

Sanction: public censure
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30 October 2018 Mr Chow Chi Wa Breach of GLR5.01(6), GLR5.20 and Director’s Undertaking

Sanction: public censure 
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30 October 2018 Mr Wang Tao Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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30 October 2018 Mr Yang Xingan Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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30 October 2018 Ms Yang Shuyan Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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30 October 2018 Mr Zhang Xiaoguang Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public censure
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30 October 2018 Ms Lee Yim Wah Breach of GLR5.01(6) and Director’s Undertaking

Sanction: public statement involving criticism
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15 October 2018 NNK Group Limited

Breach of MLR2.13(2) and MLR11.07

Sanction: public censure

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15 October 2018 Mr Huang Jun Muo Breach of MLR3.08(f) and Director’s Undertaking

 

Sanction: public censure

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15 October 2018 Mr Yang Hua

 Breach of MLR3.08(f) and Director’s Undertaking

Sanction: public censure

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15 October 2018 Mr Luo Ming Xing Breach of MLR3.08(f) and Director’s Undertaking

 

Sanction: public censure

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12 September 2018 Inno-Tech Holdings Limited

Breach of GLR18.03, 18.48A, 18.49, 18.50C, 18.53, 18.66, 18.78 and 18.79

 

Sanction: public censure

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12 September 2018 Mr Ang Wing Fung

 Breach of GLR5.01(2), GLR5.01 (4), GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure with statements that (1) whilst Mr Ang has resigned as a director of the Company, had he remained in office, given his conduct amounting to a wilful and persistent breach of his director’s duties and therefore a breach of Rule 5.01, in the opinion of the Exchange, his retention of office would have been prejudicial to the interests of investors; (2) Mr Ang’s conduct in the matter is to be taken into account in the Exchange’s assessment of his suitability to be appointed as a director of issuers listed or to be listed on the Exchange in the future under GLR5.02 and the equivalent Main Board rule.

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12 September 2018 Mr Chen Chuan

Breach of GLR5.01(6), GLR5.20 and Director’s Undertaking

 

Sanction: public censure

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12 September 2018 Mr Shih Yau Ting Jackson

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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12 September 2018 Mr Lee Ho Yiu Thomas

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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12 September 2018 Ms Lu Di

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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12 September 2018 Mrs Kwan Leung Anna

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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20 July 2018 SRE Group Limited Breach of MLR14.34, 14.38A, 14.40, 14A.35, 14A.36, 14A.46, 14A.49 and 14A.60(1)

Sanction: public statement involving criticism
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20 July 2018 Mr Shi Jian Breach of MLR3.08(c), (e) and (f), and Director’s Undertaking

Sanction: public censure with a statement that in the Exchange’s opinion, by reason of Mr Shi’s failure to discharge his responsibilities under the Exchange Listing Rules, had Mr Shi remained in office, his retention of office would have been prejudicial to the interests of investors.
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6 July 2018 Zall Smart Commerce Group Limited Breach of MLR13.17 and 13.21

 

Sanction: public censure

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6 July 2018  Mr Yan Zhi

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Cui Jinfeng

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Dr Yu Gang

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Peng Chi

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Wei Zhe, David

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Wang Chuang

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Cheung Kai Fai

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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6 July 2018 Mr Wu Ying

Breach of Director’s Undertaking

 

Sanction: public statement involving criticism

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5 July 2018 Chengdu PUTIAN Telecommunications Cable Company Limited

Breach of MLR14A.35, 14A.37 to 14A.40, 14A.46 to 14A.48 (in effect before 1 July 2014), 14A.35 and 14A.36

 

Sanction: Public Censure

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5 July 2018 Mr Zhang Xiao Cheng

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Fan Xu

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Chen Ruo Wei

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Ms Fu Ruo Lin

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Jiang Jian Ping

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Su Wen Yu

Breach of Director’s Undertaking

 

Sanction: Public Censure

 Click Here 
5 July 2018 Mr Ping Hao

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Cong Hui Sheng

Breach of Director’s Undertaking

 

Sanction: Public Censure

 Click Here 
5 July 2018 Mr Du Xin Hua

Breach of Director’s Undertaking

 

Sanction: Public Censure

 Click Here 
5 July 2018 Mr Choy Sze Chung Jojo

Breach of Director’s Undertaking

 

Sanction: Public Censure

 Click Here 
5 July 2018 Mr Xiao Xiao Zhou

Breach of Director’s Undertaking

 

Sanction: Public Censure

 Click Here 
5 July 2018 Mr Wu Zheng De

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Li Yuan Peng

Breach of Director’s Undertaking

 

Sanction: Public Censure

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5 July 2018 Mr Wang Mi Cheng

Breach of Director’s Undertaking

 

Sanction: Public Statement Involving Criticism

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14 June 2018 Ms Zhou Bao Ying Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation

Sanction: public censure with a statement that Ms Zhou’s conduct in this matter will be taken into account in assessing her suitability under Rule 3.09 of the Exchange Listing Rules in the event that she should wish to become a director of an issuer listed on the Exchange in the future.
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31 May 2018 Mr Gankhuyag Chultemsuren Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation

Sanction: public censure with a statement that Mr Chultemsuren’s conduct in this matter will be taken into account in assessing his suitability in the event that he should wish to become a director of an issuer listed or to be listed on the Exchange in the future.
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29 May 2018 Trillion Grand Corporate Company Limited (formerly known as Tai Shing International (Holdings) Limited) Breach of GLR18.03, 18.48A, 18.49, 18.50C, 18.53, 18.54, 18.66, 18.67, 18.78 and 18.79

Sanction: public censure
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29 May 2018 Mr Wong Chung Wai Eric

Breach of GLR5.01(6), 5.20 and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Chan Yun Sang

Breach of GLR5.01(6), 5.20 and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr lp Ho Ming

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Ms Wong Sau Wai Serena

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Ms Ju Lijin

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Zhang Jinshu

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Han Fangfa

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Liu Bo Breach of GLR5.01(6), 5.20 and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Ms Huang Miaochan

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Dr Pan Jin

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Dai Yuanxin

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Ms Xiao Yongzhen

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Tang Sze Lok

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Ms Hu Yun

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Xu Jingbin

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Tan Heming

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

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29 May 2018 Mr Chan Yee Sze

Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

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16 May 2018 Boer Power Holdings Limited Breach of MLR 2.13(2)

Sanction: Public Censure
 Click Here
16 May 2018 Mr Huang Liang Breach of MLR 3.08(c), MLR 3.08(f), Director’s Undertaking and the respective Undertakings for failing to cooperate in the investigation of the Listing Department

Sanction: Public Censure with a statement that Mr Huang’s conduct in this matter will be taken into account in assessing his suitability under Rule 3.09 of the Exchange Listing Rules in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future
 Click Here
16 May 2018 Mr Qian Yixiang Breach of MLR 3.08(f) and Director’s Undertaking

Sanction: Public Censure
 Click Here
16 May 2018 Mr Qian Zhongming Breach of MLR 3.08(f), Director’s Undertaking and the respective Undertakings for failing to cooperate in the investigation of the Listing Department

Sanction: Public Censure
 Click Here
16 May 2018 Ms Jia Lingxia Breach of MLR 3.08(f) and Director’s Undertaking

Sanction: Public Censure
 Click Here
16 May 2018 Mr Zha Saibin

Breach of MLR 3.08(f) and Director’s Undertaking

Sanction: Public Censure

 Click Here
3 May 2018 Mr Zhang Jing Zhi Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation.

Sanction: public censure with a statement that Mr Zhang’s conduct in this matter will be taken into account in assessing his suitability under Rule 3.09 of the Exchange Listing Rules (and its equivalent under the GEM Listing Rules) in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future.
 Click Here
3 May 2018 Mr Jiang An Ping Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation.

Sanction: public censure with a statement that Mr Jiang's conduct in this matter will be taken into account in assessing his suitability under Rule 3.09 of the Exchange Listing Rules (and its equivalent under the GEM Listing Rules) in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future.
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13 April 2018 G.A. Holdings Limited Breach of GLR19.34, GLR19.40, GLR20.32, GLR20.33, GLR20.34, GLR20.37, GLR20.44, GLR20.47, GLR20.50, GLR20.51, GLR20.53, GLR20.54, GLR20.55 (and the equivalent GLR that were in force before 1 July 2014);

Sanction: Public Censure
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13 April 2018 Mr Loh Nee Peng Breach of GLR5.01(6), GLR5.20 and Director’s Undertaking

Sanction: Public Censure
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13 April 2018 Mr Loh Boon Cha Breach of GLR5.01(6) and Director’s Undertaking

Sanction: Public Censure
Click Here
13 April 2018 Mr Wong Jacob Breach of GLR5.01(6) and Director’s Undertaking

Sanction: Public Censure
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13 April 2018 Ms Song Qi Hong Breach of GLR5.01(6) and Director’s Undertaking

Sanction: Public Censure
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3 April 2018 Mr Fu Ji Wen Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation.

 

Sanction: public censure with a statement that Mr Fu’s conduct in this matter will be taken into account in assessing his suitability under Listing Rule 3.09 in the event that he should wish to become a director of any issuer listed on the Exchange in the future.

 Click Here
27 March 2018 Mr Tang Yun

Breach of GLR5.01(6), GLR5.20 and Director’s Undertaking

Sanction: public censure

 Click Here
27 March 2018 Mr Rong Dong Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

 Click Here
27 March 2018 Mr Zhao Yong Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public censure

 Click Here
27 March 2018 Mr Zhu Jianqiu Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Ms Shi Ping Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Xiang Chaoyang Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Wu Xiangtao Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Yu Xiao Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Jonathan Chan Ming Sun Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Robert Ip Chun Chung Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Sun Dongfeng Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
27 March 2018 Mr Cheng Yuk Kin Breach of GLR5.01(6) and Director’s Undertaking

 

Sanction: public statement involving criticism

 Click Here
30 January 2018 Mr Chen Jing 

Breach of MLR3.08(a), MLR3.08(d) and MLR3.08(f).

Sanction: Public Censure            

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22 January 2018 RCG Holdings Limited (now known as China e-Wallet Payment Group Limited) Breach of MLR2.13(2)

Sanction: Public Censure
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22 January 2018  Mr Wang Zhong Ling Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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22 January 2018 Mr Li Jing Long Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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22 January 2018 Mr Zhang Li Gong Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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22 January 2018 Mr Kwan King Wah Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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22 January 2018 Mr Liu Wen Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
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22 January 2018 Mr Tse Chin Pang Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure
Click Here
15 November 2017 Han Tang International Holdings Limited

Breach of MLR2.13(2), MLR14.34, MLR14.36, MLR14.38A, MLR14.48, MLR14.49, MLR14A.21, MLR14A.45, MLR14A.47, MLR14A.48 and MLR14A.49
           

Sanction: Public Censure.

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15 November 2017 Mr Goh Nan Kioh Breach of MLR 3.08(d), MLR3.08(f) and Director’s Undertaking
      

Sanction: Public Censure.

Click Here
15 November 2017 Mr Goh Nan Yang

Breach of MLR 3.08(d), MLR3.08(f) and Director’s Undertaking
           

Sanction: Public Censure. 

Click Here
15 November 2017 Mr Yeow See Yuen

Breach of MLR3.08(f) and Director’s Undertaking
           

Sanction: Public Censure. 
Click Here
15 November 2017 Mr Wang Shu Jie

Breach of MLR3.08(f) and Director’s Undertaking

Sanction: Public Censure. 
Click Here
15 November 2017 Mr Xu Lei Breach of MLR3.08(f) and comply with the Listing Rules to the best of his abilities

Sanction: public statement involving criticism

Click Here
15 November 2017 Mr Liu Hongjun

Breach of MLR3.08(f) and comply with the Listing Rules to the best of his abilities

Sanction: public statement involving criticism.

Click Here
26 October 2017 Sunac China Holdings Limited Breach of MLR 2.13(2)

Sanction: Public Censure.
Click Here
26 October 2017 Mr Sun Hong Bin Breach of MLR 3.08(f) and Director’s Undertaking

Sanction: Public Censure
Click Here
26 October 2017 Mr Wang Meng De Breach of MLR 3.08(f) and Director’s Undertaking

Sanction: Public Censure.
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25 October 2017 Mr Wang Kai Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation.

Sanction: public censure with a statement that Mr Wang’s conduct in this matter will be taken into account in assessing his suitability under Listing Rule 3.09 (and its equivalent of the Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited) in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future.
Click Here
29 September 2017 China Environmental Energy Investment Limited Breach of MLR14.34, MLR14.38A, MLR14.40 and MLR14.41

Sanction: public statement involving criticism.
Click Here
29 September 2017  Ms Chen Tong Breach of Director’s Undertaking

Sanction: public statement involving criticism.
Click Here
29 September 2017 Mr Xiang Liang Breach of Director’s Undertaking

Sanction: public statement involving criticism.
Click Here
21 September 2017 Mr Cong Hui Sheng Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation.

Sanction: public censure with a statement that Mr Cong's conduct in this matter will be taken into account in assessing his suitability under Rule 3.09 of the Exchange Listing Rules (and its equivalent of the Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited) in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future.
Click Here
27 July 2017 Mr Ang Wing Fung Breach of Director’s Undertaking for failing to cooperate in the Exchange’s investigation. Sanction: public censure with a statement that Mr Ang's conduct in this matter will be taken into account in assessing his suitability under GLR 5.02 (and its equivalent of the Rules Governing the Listing of Securities on the The Stock Exchange of Hong Kong Limited), in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future. Click Here
20 April 2017 Mr Gao Yun Chun Breach of Director’s Undertaking for failing to cooperate in an Exchange’s investigation Sanction: public censure with a statement that Mr Gao’s conduct in this matter would be taken into account in assessing his suitability under Rule 3.09 of the Exchange Listing Rules in the event that he should wish to become a director of another issuer in the future. Click Here
28 February 2017 Datang International Power Generation Co., Ltd. Breach of MLR14A.35, 14A.36, 14A.46 and 14A.49 Sanction: public censure. Click Here
28 February 2017 Mr Cao Jing Shan Breach of Director’s Undertaking Sanction: public censure. Click Here
28 February 2017 Mr Zhou Gang Breach of Director’s Undertaking Sanction: public statement involving criticism. Click Here
28 February 2017 Mr Hu Sheng Mu Breach of Director’s Undertaking Sanction: public statement involving criticism. Click Here
13 January 2017 Natural Dairy (NZ) Holdings Limited Breach of MLR2.13 and 14.36 Sanction: public censure. Click Here
13 January 2017 Mr Wu Neng Kun Breach of MLR3.08(f) and Director’s Undertakings Sanction: public censure. Click Here
13 January 2017 Mr Zhang Han Wen Breach of MLR3.08(f) and Director’s Undertakings Sanction: public censure. Click Here
13 January 2017 Mr Yao Hai Sheng Breach of MLR3.08(f) and Director’s Undertakings Sanction: public censure. Click Here
13 January 2017 Mr Luo Ji Breach of MLR3.08(f) and Director’s Undertakings Sanction: public censure. Click Here
13 January 2017 Mr Ng Chun Ming Breach of MLR3.08(f) and Director’s Undertakings Sanction: public censure. Click Here
13 January 2017 Ms Chan Wai Kay Katherine Breach of MLR3.08(f) and Director’s Undertakings Sanction: public statement involving criticism. Click Here

 


Updated 27 May 2020

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