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SOUTHWEST SECURITIES (HK) FUTURES LIMITED Public Disciplinary Actions
SOUTHWEST SECURITIES (HK) FUTURES LIMITED 西證(香港)期貨有限公司
SFC Licensed
SFC ID:
AAZ149
Key Data
Officers
SFC Licenses
Conditions
Public Disciplinary Actions
Public Disciplinary Actions
SFC bans Cham Nga Yin, ex-Southwest Securities, for life
SFC, 09-Aug-2018
Orgs
People
SFC reprimands and fines Tanrich Futures Ltd, bans Mr Yip Man Fan for 9 months
SFC, 02-Jun-2009
Yes, but he's still the Chairman and controlling shareholder of the brokerage's listed owner, Tanrich Financial Holdings Ltd.
Orgs
People
SFC prohibits Ben Chan Ka Cheuk from re-entering industry for 4 months for cold calling
SFC, 03-Nov-2008
Comment: this is the 15th employee of Tanrich to be disciplined since 2004. Surely at some point the SFC should revoke the firm's license?
Orgs
People
SFC suspends Ms Chow Yin Shan for 8 months
SFC, 27-Jun-2007
Orgs
People
SFC suspends Mr Bowie So Chi Kit for 6 months
SFC, 02-May-2007
Orgs
People
SFC suspends Ms Leung Wing for 9 weeks
SFC, 27-Apr-2007
Orgs
People
SFC bans Mr Sze Fan Hoi for 7 months
SFC, 26-Apr-2007
Orgs
People
Ms Leung Wing v SFC
SFAT, 25-Apr-2007
Orgs
People
SFC suspends Mr Calvin Ting Chun Hin for 2 months
SFC, 22-Mar-2007
Orgs
People
SFC suspends Ms Ip Pui Lan of Tanrich Futures Ltd for 4 months
SFC, 22-Nov-2006
Orgs
People
SFC bans Mr Leung Chin Pang for 6 months for cold calling and failing to give reasonable investment advice
SFC, 19-Jul-2006
Orgs
People
SFC suspends Mr Keung Man Bun for 6 months
SFC, 06-Jun-2006
Orgs
People
SFC bans Mr Chau Sik Ki for 4 months for cold calling
SFC, 26-Apr-2006
Orgs
People
SFC suspends Agnes Mak Wing Shun for 4 months for failures to comply with SFO and to give reasonable investment advice
SFC, 31-Mar-2006
Orgs
People
SFC bans Mr Wong Yu Kit for 6 months
SFC, 13-Mar-2006
Orgs
People
SFC bans Mr Lam Wing Chit for 3 months
SFC, 01-Mar-2006
Orgs
People
SFC prosecutes Mr Chau Sik Ki for cold calling
SFC, 24-Jan-2006
Orgs
People
SFC bans Mr Chow Wai Ho for 3 months for cold calling
SFC, 11-Jan-2006
Orgs
People
SFC prosecutes Ms Leung Wing for cold calling
SFC, 01-Dec-2005
Orgs
People
SFC prosecutes Mr Lam Wing Chit for cold calling
SFC, 17-Nov-2005
Orgs
People
SFC prosecutes Agnes Mak Wing Shun for cold calling
SFC, 10-Nov-2005
Orgs
People
SFC prosecutes Mr Chow Wai Ho for cold calling
SFC, 29-Sep-2005
Orgs
People
SFC suspends Mr Shiu Yau Wah for 4 months for cold calling
SFC, 15-Dec-2004
Orgs
People
SFC suspends Mr Dickson Kam Chun Wah, for 3 months for account opening failings
SFC, 15-Dec-2004
Orgs
People
SFC prosecutes Miss Mean Lam Suk Kuen and Mr Lau Chun Kwok for cold calling
SFC, 30-Sep-2004
Orgs
People
Cold calling is illegal
SFC, 27-Sep-2004
Orgs
SFC reprimands Tanrich Futures Ltd for internal control failures
SFC, 21-Apr-2004
Orgs
SFC prosecutes Mr Shiu Yau Wah for cold calling
SFC, 21-Apr-2004
Orgs
People
SFC reprimands Ms Elaine Lau Yim Ling for impropriety
SFC, 21-Apr-2004
Orgs
People
Tanrich Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 13-Sep-2001
Orgs
People
Pan Guoqiang prosecuted for misleading SFC in application to join Tanrich Futures Ltd
SFC, 12-Nov-1999
Orgs
People