Date

Company / Name

Breach Conduct

Disciplinary Actions


25 October 2017

  • Mr Wang Kai, former executive director of Sound Global Limited

  • Director’s Undertaking
    (Form B)

  • Director’s failure to cooperate in the Exchange’s investigation.

REGULATORY MESSAGE:

Failure by a director to cooperate in the Exchange's investigation into possible Listing Rule breaches is viewed seriously and will not be tolerated, and will also be taken into account in assessing an individual's suitability to act as a director of any listed issuer and listing applicant in the future.


SANCTIONS:


Public Censure of

  • Mr Wang Kai

with a statement that Mr Wang’s conduct expected by the Exchange of a director of a listed issuer and his conduct in this matter will be taken into account in assessing his suitability under Listing Rule 3.09 (and its equivalent of the Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited) in the event that he should wish to become a director of any issuer listed or to be listed on the Exchange in the future.


NEWS RELEASE:

http://www.hkex.com.hk/eng/newsconsul/hkexnews/2017/171025news.htm