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DBS VICKERS (HONG KONG) LIMITED 星展唯高達香港有限公司

SFC Licensed
SFC ID:AAD647
CCASS ID:B01762
Key DataOfficersSFC LicensesConditionsPublic Disciplinary ActionsCCASS Distribution
Public Disciplinary Actions
SFC bans Samuel Lee Kwok Tung, ex-DBS Vickers, for 8 months for impersonating client by phone
SFC, 19-Aug-2019
Orgs
People
SFC fines DBS Vickers (HK) Ltd HK$2m for internal control failures
SFC, 16-Mar-2017
Orgs
SFC suspends Mr Ho Siu Po, ex-DBS Vickers, for 7 months
SFC, 20-Oct-2014
Orgs
People
SFAT affirms SFC decision to suspend Winda Sham Pik Yan for operating secret account
SFC, 22-Feb-2011
Orgs
People
Ms Winda Sham Pik Yan v SFC
SFAT, 18-Feb-2011
"We did not find Ms Sham to be a witness worthy of belief."
Orgs
People
SFC suspends Dennis Chung Yan for 8 months
SFC, 09-Feb-2009
Orgs
People
SFC reprimands Mr Cheng Lit Ming for breaching Code of Conduct and employer's internal policies
SFC, 06-Feb-2004
Orgs
People
SFC reprimands Michael Yau Cheuk Hong for improperly allowing a third party to place orders for his clients
SFC, 26-Feb-2003
Orgs
People