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DELTA ASIA SECURITIES LIMITED 滙業證券有限公司

SFC Licensed
SFC ID:AAW265
CCASS ID:B01356
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Public Disciplinary Actions
SFC fines Ms Conita Hung Lai Ping HK$150k for managerial and supervisory failures
SFC, 19-Aug-2014
She is now a Responsible Officer of Amicus Asset Management Ltd.
Orgs
People
SFC fines Delta Asia Securities Ltd HK$4m
SFC, 04-Jun-2014
...for using securities belonging to some clients to settle sales by other clients.
Orgs
SFC prosecutes Delta Asia Securities Ltd for issuing IPO application forms without a prospectus
SFC, 03-Feb-2005
Orgs