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Date de publication: 20 févr. 2014
Auteur: Y B
Noter cette article :
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La Securities and futures commission de Hong Kong a publié un communiqué de presse dans lequel elle annonce la condamnation de Ng Kai Chak, un investisseur de détail, pour avoir menti à ses services lors d'enquêtes sur des manipulations boursières.

Au cours d'une enquête de la SFC sur des soupçons de manipulations de marché dans les actions de la société Sino-Tech International Holdings Limited, Ng a trompé à deux reprises les enquêteurs de l'autorité de contrôle de Hong Kong sur les personnes qui contrôlaient ses compte-titres.

Le défendeur a plaidé coupable et a été condamné à une amende de 16 000 dollars. Le tribunal lui a également ordonné de payer les frais d'enquête de la SFC.

Résumé :

he Eastern Magistrates’ Court today convicted Mr Ng Kai Chak on two charges of misleading the Securities and Futures Commission (SFC) during an SFC investigation.
Ng pleaded guilty and was fined a total of $16,000. The court also ordered him to pay the SFC’s investigation costs.

During an SFC investigation into market manipulation in the shares of Sino-Tech International Holdings Limited (Sino-Tech), Ng twice misled SFC investigators about who controlled his securities account by claiming that he had personally placed the relevant buy and sell orders for the Sino-Tech shares in his account.

However, the SFC investigation revealed that Ng could not have operated the account because the orders were placed through the Internet Protocol address assigned to the workplace of Mr Wong Chun. Ng allowed Wong to access and use his online securities trading account and it was Wong who placed the relevant orders.

The SFC is separately prosecuting Wong for market manipulation. The case is set for a pre-trial review on 20 February 2014.

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