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EWARTON SECURITIES LIMITED Public Disciplinary Actions
EWARTON SECURITIES LIMITED 穎翔證券有限公司
SFC Licensed
SFC ID:
ADR667
CCASS ID:
B01606
Key Data
Officers
SFC Licenses
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Public Disciplinary Actions
CCASS Distribution
Public Disciplinary Actions
SFC fines Ewarton Securities Ltd HK$1.5m
SFC
SFC, 27-May-2021
Orgs
People
SFC suspends Mung Wai Sun, ex-Ewarton Securities, for 9 months
SFC
SFC, 21-Sep-2020
For discretionary dealing for a client without written authorisation, and putting his orders ahead of his client.
Orgs
People
SFC fines Mr Chan Yu Man of Ewarton Securities Ltd HK$30k for short selling
SFC, 07-Sep-2005
Orgs
People
Topics
SFC fines Mr Yu Hing Fai of Ewarton Securities Ltd HK$40k for short selling
SFC, 07-Sep-2005
Orgs
People
Topics
SFC fines Mr Ng Yan Ngai of Ewarton Securities Ltd HK$40k for supervision failures
SFC, 07-Sep-2005
Orgs
People
Topics
SFC prosecutes Mr Yuen Pak Kan for giving false info on his financial status
SFC, 03-Feb-2005
Orgs
People
SFC reprimands Ewarton Securities Ltd, Mr Kenneth Ng Ka Wing and Mr Alfred Yeung Sau Fung
SFC, 26-Apr-2001
Orgs
People