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CELESTIAL COMMODITIES LIMITED Public Disciplinary Actions
CELESTIAL COMMODITIES LIMITED 時富商品有限公司
SFC Licensed
SFC ID:
AAF557
Key Data
Officers
SFC Licenses
Conditions
Public Disciplinary Actions
Public Disciplinary Actions
SFC fines Celestial Commodities & Celestial Securities HK$6.3m for mishandling client money
SFC, 10-Jul-2019
Both are owned by Cash Financial Services (0510).
Orgs
SFC suspends Mr Chan Hung Nin of Celestial for 15 months
SFC, 08-Aug-2014
Orgs
People
SFC fines broker Karl Wu Kin Chung HK$40k for breaching telephone recording requirement
SFC, 14-Sep-2011
Orgs
People
Tsang Wah Nam v SFC
SFAT, 20-Jan-2010
A representative of a brokerage loses his appeal to retain his licence during personal bankruptcy.
Orgs
People
Life ban for Mr Lee Kin Hang for abusing client assets
SFC, 21-Jul-2008
Orgs
People
SFC suspends Mr Alex Mak Ka Bo for 6 months for misleading SFC investigation
SFC, 20-Dec-2007
Orgs
People
SFC suspends Mr Wong Chung of Celestial Securities Ltd for 3 months
SFC, 17-May-2007
Orgs
People
SFC prosecutes Alex Mak Ka Bo and Angela Yip Kit Yin for misleading SFC
SFC, 10-Aug-2006
Orgs
People
SFC suspends Mr Chan Ho Yin for 15 months for breaches of Code of Conduct
SFC, 15-Jun-2006
Orgs
People
SFC reprimands Mr Tsui Wing Kit, ex-Celestial Commodities Ltd, for breaching Code of Conduct
SFC, 10-Nov-2005
Orgs
People
SFC prosecutes Mr Lung Chai Yu for cold calling
SFC, 17-Mar-2004
Orgs
People
SFC reprimands Ms Cheung Lai Ping of Celestial Commodities Ltd for failure to handle client complaints properly
SFC, 02-Jul-2003
Orgs
People
SFC suspends Ms Wong Bo Chu, ex-Celestial, for 6 months for trading in black market HSI Futures Contracts
SFC, 20-Jul-2001
Orgs
People
SFC revokes registrations of Mr Chau Tat Ming for abuse of client assets
SFC, 15-Mar-2001
Orgs
People
Cheerful Commodities inquiry result; Mr Law Chor Yam suspended for 6 months
SFC, 25-Jun-1999
Orgs
People