Zia Sun(zsun) Message Board

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Microcap & Penny Stocks : Zia Sun(zsun)

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To: jjs64 who wrote (483)	4/15/1999 8:53:00 PM
From: StockDung	of 10354

Securities and Futures Commission TO THE BUSINESS EDITOR FOR EMEDIATE RELEASE 5 January 1999 Press Release SFC Takes Action Against Unregistered Dealing Activities The Securities and Futures Commission announced that it had successfully prosecuted Amber Global Limited (AGL) for carry on a business whilst unregistered. AGL pleaded guilty before Ms Polly Lo at Western Magistracy today. AGL was fined $10,000 and ordered to pay costs of $7,400 to the SFC. The SFC investigation revealed that during the period 1 April July 1998, AGL acted as a agent in Hong Kong for Amber Securities (ASC), a company registered with the Security and Exchange Commission of the United States as a securities broker. Sales staff of AGL, were instructed by Mr. John Jerome Cronin (Cronin), the person-in-charge of the operation of AGL, to recruit clients in Hong Kong to open accounts with ASC and then receive their securities trading instructions for onward transmission to ASC. AGL, Cronin and sales staff of AGL are not registered with the SFC in any capacity. For further information, please contact Chan Chi-Keung at 2842-7624

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