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FIRST SHANGHAI SECURITIES LIMITED 第一上海證券有限公司

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SFC ID:ABV488
CCASS ID:B01686
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Public Disciplinary Actions
SFC revokes and fines Mr Chan Wang Fai
SFC, 08-Jun-2009
Comment: the unnamed listed company should now sue Mr Chan and his brokerage First Shanghai Securities Ltd for the HK$930,000 in excess cost which they had to pay for share buybacks due to Mr Chan's malfeasance. This cost was ultimately bourne by the shareholders of the listed company.
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SFC reprimands Mr Li Kwok Hung of First Shanghai Securities Ltd
SFC, 29-Sep-2003
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