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Public Disciplinary Actions
Public Disciplinary Actions
SFC fines Lui Chi Hang, ex-ABN Amro, now at BOCI, HK$300k
SFC, 06-Jan-2016
Orgs
People
SFC bans Helen Chow Hoi Ching & Choy Cheuk Tung forever
SFC, 07-May-2014
Orgs
People
SFC bans Mr To Ka Kit for 3 years
SFC, 19-Feb-2014
Orgs
People
SFC, HKMA, RBS reach agreement on Lehman ELNs sold to pros
SFC, 04-Dec-2013
Orgs
HKSAR v Helen Chow Hoi Ching
HK District Court, 11-Sep-2013
Orgs
People
SFC, HKMA & The Royal Bank of Scotland N.V. reach agreement on Lehman Brothers-related equity-linked notes
SFC & HKMA, 18-Jul-2013
Orgs
NatWest Markets N.V. Public Disciplinary Actions