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Public Disciplinary Actions
Former investment consultant suspended for introducing non-SFC authorised fund to clients
SFC, 10-Aug-2010
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SFC prosecutes Tresidder Tuohy and Partners (HK) Ltd for unauthorised investment advertisements; magistrate reduces fines on individuals
SFC, 09-Nov-1999
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SFC prosecutes Thomas Alexej Hall, Christopher John Parker, Neil Hamilton Pearce & Flora Tsang Tin Wai for unauthorised investment advertisements
SFC, 02-Nov-1999
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