SFC bans Poon Kin Lung, ex-Phillip Securities, for 2 years
SFC, 15-Dec-2016
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SFC bans Wong Lap Yin, ex-Phillip Securities, for 3 years
SFC, 01-Aug-2016
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SFC bans Chan Chi Yuen, ex-Phillip Securities, for 18 months
SFC, 13-Oct-2015
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Duo Charged for alleged HK$365k bribery over trading in securities
ICAC, 07-Apr-2014
We note that Ms Ching Yim Har was suspended by the SFC for 3 years on 14-Aug-2013.
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SFC suspends Mr Chan Chi Ki of Phillip Securities for 6 months
SFC, 01-Apr-2014
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SFC suspends Stephen Cho Yu Kwan for 3 years and fines Ju You Li HK$100k
SFC, 25-Nov-2013
The statement alludes to how underground "money changers" collect RMB deposits in the mainland and then cause HKD to be deposited in HK, evading the PRC capital controls.
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Mr Chan Chi Yuen, ex-Phillip Securities, convicted of naked short selling
SFC, 31-Oct-2013
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SFC suspends Ms Ching Yim Har, ex-Phillip Securities (HK) Ltd, for 3 years
SFC, 14-Aug-2013
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SFC bans Leung Kau Fung for 9 months
SFC, 07-Nov-2012
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Broker Ng Kwok Wing convicted of illegal short selling
SFC, 25-Oct-2012
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SFC fines Mr Ian So Kwok Wai, ex-Phillip Commodities (HK) Ltd, for improper audit trail
SFC, 19-Dec-2011
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Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
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SFC fines Chan Hon Man HK$134,580
SFC, 31-Aug-2010
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SFC suspends Mr Chin Man Chung, ex-Phillip Securities, and fines him HK$71,500 for market manipulation
SFC, 20-Aug-2007
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SFC suspends Runter Yeung Hok Huen for 1 month for conducting unlicensed activities
SFC, 29-Mar-2005
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SFC suspends Mr Raymond Chan Shek Hong for 6 months for unregistered portfolio management and breaching Code of Conduct