China International Capital Corporation
Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets? Caproasia - Learn more



This site is for accredited investors, professional investors, investment managers and financial professionals only. You should have assets around $3 million to $300 million or managing $20 million to $3 billion.










Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via 829 Trades Including Trading 3 Stocks on Restricted List & Selling Within 30 Days Without Approval

21st December 2022 | Hong Kong

Hong Kong Securities & Futures Commission (SFC) has banned former CICC banker (Sun Yiding, China International Capital Corporation) 8 months for securities misconduct for opening an external brokerage trading account without approval, conducted $6.08 million (HKD 47.4 million) via 829 trades including trading 3 stocks on CICC restricted list and selling securities within 30 days without approval (Ban from Dec 2022 to August 2023).  Hong Kong SFC:  The disciplinary action follows an SFC investigation, which found that between July 2019 and July 2020, Sun failed to obtain her then employer’s approval to open a securities trading account with an external brokerage firm and conducted 829 personal trades in the account unbeknownst to it.  She also traded in three stocks on her then employer’s restricted list and sold certain stocks within 30 days of purchase without its pre-approval.  In the circumstances, Sun’s conduct circumvented her then employer’s employee trading policy and prevented it from monitoring her personal trading activities.”  Sun Yiding joined CICCHK as an Associate of its Private Equity Investment Department in September 2015 and changed her position to CICCHK’s Capital Management Department as a Senior Associate in January 2016.  She became a licensed representative of CICCHK in February 2018.  See Hong Kong SFC announcement below. 

“ Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via 829 Trades Including Trading 3 Stocks on Restricted List & Selling Within 30 Days Without Approval“

 



- Article continues below -



Sign Up
Basic Member: $5 Monthly | $60 Yearly
Newsletter Daily 2 pm (Promo): $20 Monthly | $180 Yearly (FP: $680)


The 2024 Investment Day
23rd July Hong Kong | 25th July Singapore

Private Equity, Hedge Funds, Boutique Funds, Private Markets & more. Taking place on 23rd July 2024 in Hong Kong, 25th July 2024 in Singapore.
Visit | Register here


The 2024 Family Office Summit
16th Oct Hong Kong | 23rd Oct Singapore

Join 80 single family offices & family office professionals in Hong Kong & Singapore
Links: 2024 Family Office Summit | Register here





Hong Kong SFC Statement

China International Capital Corporation

SFC bans Sun Yiding for eight months

19th Dec 2022 – The Securities and Futures Commission (SFC) has prohibited Ms Sun Yiding from re-entering the industry for eight months from 15 December 2022 to 14 August 2023.

The disciplinary action follows an SFC investigation, which found that between July 2019 and July 2020, Sun failed to obtain her then employer’s approval to open a securities trading account with an external brokerage firm and conducted 829 personal trades in the account unbeknownst to it.  She also traded in three stocks on her then employer’s restricted list and sold certain stocks within 30 days of purchase without its pre-approval.

In the circumstances, Sun’s conduct circumvented her then employer’s employee trading policy and prevented it from monitoring her personal trading activities.

The SFC considers that Sun’s conduct, which is dishonest, calls into question her fitness and properness to be a licensed person.

In deciding the sanction against Sun, the SFC has taken into account all relevant circumstances, including:

  • her misconduct lasted for one year and involved 829 securities transactions;
  • her remorse and cooperation in resolving the SFC’s concerns; and
  • her otherwise clean disciplinary record.

Sun was accredited to China International Capital Corporation Hong Kong Securities Limited and licensed to carry on Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities under the Securities and Futures Ordinance from 14 February 2018 to 10 June 2021.  Sun is currently not licensed by the SFC.

 

China International Capital Corporation

China International Capital Corporation Limited (CICC, 601995.SH, 3908.HK) is China’s first joint-venture investment bank and a pioneer of adopting the best international practices in China. Our track record of professional services includes a number of precedent-setting transactions, demonstrating our deep participation in China’s economic reforms and development. Our goal is to become a leading international investment bank in China, as well as a significant player in the global financial market.

Since CICC’s inception in 1995, we have provided high quality, value-added financial services to a diversified client base. This includes a full-service business model that offers investment banking, equities, FICC, asset management, private equity and wealth management services, all of which draw on our comprehensive research coverage and information technology.  As a China expert, CICC provides in-depth and insightful interpretation and analysis on the Chinese economy, industrial development and markets. We have been recognized for excellence in professional deliveries and client services. With sustainability at the core of CICC’s values, we seek to create long-term value for society and actively practice corporate social responsibility at high industry standard.

In 2015, CICC was listed on the main board of the Hong Kong Stock Exchange. In 2017, CICC Wealth Management merged with China Investment Securities, significantly boosting our coverage scale and capital strength, increasing our client base and market penetration and enabling us to build a more balanced business structure spanning the primary and secondary markets. In 2020, CICC was successfully listed on the Main Board of Shanghai Stock Exchange.

Headquartered in Beijing, CICC has over 200 branches in Chinese mainland and offices in Hong Kong SAR, New York, Singapore, London, San Francisco, Frankfurt and Tokyo.  Our extensive network and cross-border business practices have enabled us to provide a full range of financial services for our clients. As an investment bank with Chinese roots and international reach, we are committed to providing first-class financial services in both domestic and overseas markets to help our clients achieve their goals.




Managing $20 million to $3 billion. Investing $3 million to $300 million.
For Investment Managers, Hedge Funds, Boutique Funds, Private Equity, Venture Capital, Professional Investors, Family Offices, Private Bankers & Advisors, sign up today. Subscribe to Caproasia and receive the latest news, data, insights & reports, events & programs daily at 2 pm.

Join Events & Find Services
Join Investments, Private Wealth, Family Office events in Hong Kong, Singapore, Asia-wide. Find hard-to-find $3 million to $300 million financial & investment services at The Financial Centre | TFC. Find financial, investment, private wealth, family office, real estate, luxury investments, citizenship, law firms & more.  List hard-to-find financial & private wealth services.

Have a product launch? Promote a product or service? List your service at The Financial Centre | TFC. Join interviews & editorial and be featured on Caproasia.com or join Investments, Private Wealth, Family Office events. Contact us at [email protected] or [email protected]

Caproasia.com | The leading source of data, research, information & resource for financial professionals, investment managers, professional investors, family offices & advisors to institutions, billionaires, UHNWs & HNWs. Covering capital markets, investments and private wealth in Asia. How do you invest $3 million to $300 million? How do you manage $20 million to $3 billion of assets?



Quick Links


2021 Data Release
2020 List of Private Banks in Hong Kong
2020 List of Private Banks in Singapore
2020 Top 10 Largest Family Office
2020 Top 10 Largest Multi-Family Offices
2020 Report: Hong Kong Private Banks & Asset Mgmt - $4.49 Trillion
2020 Report: Singapore Asset Mgmt - $3.48 Trillion AUM


For Investors | Professionals | Executives
Latest data, reports, insights, news, events & programs
Everyday at 2 pm
Direct to your inbox
Save 2 to 8 hours per week. Organised for success

Register Below

For CEOs, Heads, Senior Management, Market Heads, Desk Heads, Financial Professionals, Investment Managers, Asset Managers, Fund Managers, Hedge Funds, Boutique Funds, Analysts, Advisors, Wealth Managers, Private Bankers, Family Offices, Investment Bankers, Private Equity, Institutional Investors, Professional Investors

Get Ahead in 60 Seconds. Join 10,000 +
Save 2 to 8 hours weekly. Organised for Success.

Sign Up / Register


    Investment ProfessionalAdvisorProfessional InvestorFinancial ProfessionalManagementOthers


    $20 million to $100 million AUM$100 million to $300 million AUM$300 million to $1 billion AUM$1 billion to $10 billion AUM$10 billion to $100 billion AUMMore than $100 billion AUM


    Mailing List / Free TrialMonthly SubscriptionYearly SubscriptionMembershipEvents


    2024 Investment Day Hong Kong 23rd July2024 Investment Day Singapore 25th July2024 Investment Day Hong Kong 4th Sept2024 Investment Day Singapore 11th Sept2024 Family Office Summit Hong Kong 16th Oct2024 Family Office Summit Singapore 23rd Oct / 6th Nov












    Web links may be disabled on mobile for security.
    Please click on desktop.










    Caproasia Users

    • Manage $20 million to $3 billion of assets
    • Invest $3 million to $300 million
    • Advise institutions, billionaires, UHNWs & HNWs

    Caproasia Platforms | 11,000 Investors & Advisors

    Monthly Roundtable & Networking

    Family Office Programs

    The 2024 Investment Day

    • March 2024 - Hong Kong
    • March 2024 - Singapore
    • June 2024 - Hong Kong
    • June 2024 - Singapore
    • Sept 2024 - Hong Kong
    • Sept 2024 - Singapore
    • Visit: The Investment Day | Register: Click here

    Caproasia Summits

    Contact Us

    For Enquiries, Membership
    [email protected], [email protected]

    For Listing, Subscription
    [email protected], [email protected]

    For Press Release, send to:
    [email protected]

    For Events & Webinars
    [email protected]

    For Media Kit, Advertising, Sponsorships, Partnerships
    [email protected]

    For Research, Data, Surveys, Reports
    [email protected]

    For General Enquiries
    [email protected]





    Caproasia | Driving the future of Asia
    a financial information technology co.
    since 2014




    Previous articleThe 16th Asian Financial Forum in January 2023: Over 40 Panels, 100 Exhibitors & Deal Flow Matching, Global Leaders from HSBC, Citi, UBS, Amundi, Prudential, HKEX
    Next articleSingapore Court Sentences Individual to 19 Months Jail & $263,000 Fine for False Trading, Unauthorised OCBC & UOB Accounts Usage & Inducing Others to Trade on Telegram
    Caproasia.com covering capital markets, investments and private wealth in Asia. Our users manage, advise & invest $25 trillion assets in Asia