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TAI WAH SECURITIES LIMITED 大華證券有限公司

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SFC ID:AEF920
CCASS ID:B01635
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Public Disciplinary Actions
SFC extends suspension of Ms Mary See Ting Hing for improper trading via clients' accounts
SFC, 11-Jul-2005
Orgs
People
SFC suspends Ms Mary See Ting Hing for 8 months for personal trading via clients' accounts and misallocating client's order
SFC, 16-Feb-2005
Orgs
People
SFC prosecutes Mr Spencer Lam Kwong Tim for failing to notify SFC of liquid capital deficiencies
SFC, 30-Mar-2004
Orgs
People
Re winding up of Tai Wah Securities Ltd
HK Court of First Instance, 13-Oct-2003
Orgs
Tai Wah Securities Limited suspends trading, defaults on settlement
SFC, 03-Apr-2003
Orgs
SFC reprimands Mr Spencer Lam Kwong Tim of Tai Wah Securities Ltd
SFC, 12-Oct-2000
Orgs
People