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CHINA SECURITIES HOLDINGS LIMITED Public Disciplinary Actions
CHINA SECURITIES HOLDINGS LIMITED 中國証券控股有限公司
SFC Inactive
SFC ID:
ABE233
CCASS ID:
B01406
Key Data
Officers
SFC Licenses
Conditions
Public Disciplinary Actions
CCASS Distribution
Public Disciplinary Actions
SFC restriction Notice on China Securities Holdings Ltd
HK Gazette, 27-May-2016
Orgs
Court convicts unlicensed dealers Grace Wong Yuk Han & Lonna Wong Yuk Wah
SFC, 29-Sep-2014
Orgs
People
SFAT affirms SFC decision to suspend former responsible officer of China Securities Holdings Limited
SFC, 26-May-2014
Orgs
People
Peter Leung v SFC
SFAT, 23-May-2014
Orgs
People
SFC suspends Wong Yip Chuen, ex-China Securities Holdings Ltd, for 8 months
SFC, 18-Sep-2013
Orgs
People
SFC fines China Securities Holdings Ltd HK$1.3m and bans its RO for 27 months
SFC, 13-Aug-2013
Orgs
People
SFC reprimands Vermont Securities Co Ltd for regulatory breaches
SFC, 18-Oct-2002
Orgs
SFC reprimands Vermont Securities Co Ltd & suspends Daniel Chung Ming Tru for 1 month
SFC, 25-May-2000
Orgs
People
SFC prosecutes Mr Choi Hak for unregistered dealing
SFC, 24-Aug-1999
Orgs
People