Mar 2007 - prosecuted by HKSFC for short selling (Feb 2006 - Mar 2006). Pleaded guilty. Fined HKD64,000 at the Eastern Magistracy. Sep 2008 - licence revoked and fined HKD21,400 by HKSFC for front running (Sep 2006). Decision upheld by the Securities and Futures Appeals Tribunal. Feb 2012 - no further risk information found.