Zia Sun(zsun) Message Board

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Microcap & Penny Stocks : Zia Sun(zsun)

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To: Sir Auric Goldfinger who wrote (7673)	5/2/2000 8:54:00 PM
From: StockDung	of 10354

My My a new one-->18 March 1999 SFC Takes Action Against Unregistered Dealer's Representative hksfc.org -------------------------------------------------------------------------------- 18 March 1999 SFC Takes Action Against Unregistered Dealer's Representative The Securities and Futures Commission announced that it had successfully prosecuted Kong York Hay (Kong) and Ng Henry Kai Wah (Ng) for acting as dealer's representatives of Amber Global Limited (AGL) whilst unregistered. Kong and Ng today pleaded guilty before Ms Suzanna Remedios at Western Magistracy. Kong and Ng were fined $2,000 each and ordered to pay costs totalling $8,000 to the SFC. The SFC investigation revealed that during the period 1 April to 30 July 1998, AGL acted as an agent in Hong Kong for Amber Securities Corporation (ASC), a company registered with the Securities and Exchange Commission of the United States as a securities broker. Sales staff of AGL, including Kong and Ng, were engaged in recruiting clients in Hong Kong to open accounts with ASC and then receiving securities trading instructions for onward transmission to ASC. AGL, Kong and Ng were not registered with the SFC in any capacity.

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