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Public Disciplinary Actions
SFC fines Mason Securities Ltd HK$3.6m for breaches of anti-money laundering regulatory requirements
SFC
SFC, 15-Dec-2021
Orgs
SFC bans Mr Lau Kwo, ex-Mason Securities/Futures Ltd, for 12 months
SFC
SFC, 05-Jul-2021
Orgs
People
SFC suspends Sandra Cheung Wing Yi for a year
SFC
SFC, 29-Oct-2020
For dealing through an undisclosed external account. She has since moved on from Mason Securities to Sun Growth Securities.
Orgs
People
SFAT upholds SFC decision to suspend analyst Mr Eric Wong Wing Fai for 18 months for front-running research reports
SFC, 02-Aug-2004
Orgs
People
Mr Eric Wong Wing Fai v SFC
SFAT, 02-Aug-2004
Orgs
People
SFC revokes registration of Ms Winnie Leung Yuen Yee for misconduct
SFC, 17-Mar-2003
Orgs
People
SFC reprimands Mazie Tsoi Siu Lan
SFC, 23-Mar-2000
Orgs
People
Mason Securities Limited Public Disciplinary Actions