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SFC ID:ADB079
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Public Disciplinary Actions
SFC bans Mr Li Tak Wa, ex-Kaiser, for 15 months
SFC, 18-Jun-2014
Orgs
People
SFC fines Kaiser HK$1.7m for illegal activities in Macau
SFC, 07-May-2014
Apparently they were also fined MOP1.65m by the Monetary Authority of Macao, which does not publicise these things.
Orgs
SFC fines Mr Ng Mau Chung HK$14k for poor standards and unintentional short selling of MAE (0851)
SFC, 16-Mar-2005
Orgs
People
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