Fulbright Securities breached regulatory requirements when processing placement subscription applications for a Hong Kong-listed company in August 2018.
November 2, 2021In a joint statement with the stock exchange, the SFC says it will not hesitate to take enforcement action against intermediaries for IPO-related misconduct.
May 21, 2021The banks are alleged to have colluded on how to offload ANZ shares in 2015 by restricting supply to maintain market prices.
December 9, 2020Nine Masts Capital sold shares in Yuzhou Properties in May 2015 before a share placement was complete, based on verbal confirmation of its allotment.
April 19, 2019ANZ failed to disclose in its 2015 capital raising that underwriters Citi and Deutsche took up one-third of its share placement.
September 17, 2018