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Public Disciplinary Actions
SFC fines Ms Chow Chuen Ho for breaching Code of Conduct and staff policy
SFC, 18-Apr-2006
Orgs
People
SFC suspends Mr Lau Pak Tong for 5 weeks for breaching the know-your-client rule
SFC, 07-Oct-2005
Orgs
People
SFC suspends Ms Cheng She Ching for 6 weeks for improper handling of client accounts
SFC, 22-Mar-2004
Orgs
People