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SDIC Securities International Financial Holdings Limited Public Disciplinary Actions
SDIC Securities International Financial Holdings Limited 國投證券國際金融控股有限公司
SFC Inactive
SFC ID:
ADS612
CCASS ID:
B01605
Key Data
Officers
SFC Licenses
Conditions
Public Disciplinary Actions
CCASS Distribution
Public Disciplinary Actions
SFC suspends Chan Yuk Chun, ex-China Southern Securities (HK) Ltd, for 3 months
SFC, 05-Mar-2007
Orgs
People
Topics
SFC fines China Southern Securities (Hong Kong) Ltd HK$0.4m & Mr Cheung Tung Woon HK$35k for FRR breaches
SFC, 20-Jul-2005
Orgs
People
SFC reprimands Mr Cheung Tung Woon & China Southern Securities (Hong Kong) Ltd for poor internal controls
SFC, 14-Sep-2004
Orgs
People
SFC reprimands Mr Wong Ching Lau
SFC, 13-Jan-2004
Orgs
People
SFC reprimands Mr Li Cheung for failings in warrants placements and personal trading behind employer's back
SFC, 28-Mar-2003
Orgs
People
SFC reprimands Mr Ringo Leung Wai Yip for failings to tell employer that accounts were discretionary
SFC, 19-Dec-2002
Orgs
People
SFC reprimands Mr Chan Ping Kuen of South Capital Brokerage Ltd
SFC, 26-Jul-2001
Orgs
People