SFC fines fund promoter for unauthorised material, failure to disclose interests

Mark Sands
31 Jan 2011

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The Securities and Futures Commission (SFC), the market regulator for Hong Kong, has announced that an investment fund promoter has been found guilty of issuing unauthorised marketing material and failing to disclose interests in listed securities.

Promoter Kwok Sau Ping was fined a total of $12,000 and ordered to pay the SFC investigation costs of $80,000.

A court in Hong Kong found Kwok had held two events on October 13 and 20, 2007 to promote a fund she controlled, the Reliance China Hong

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