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Public Disciplinary Actions
SFC fines Hong Kong Wealth Management Ltd HK$100k for internal control and supervisory failures
SFC, 27-Apr-2006
Orgs
SFC bans Mr Ko Siu Lun for 2 months for supervisory failures
SFC, 27-Apr-2006
Orgs
People
SFC prosecutes Mr Lam Kwok Fai for unregistered investment advising
SFC, 08-Sep-2005
Orgs
People
SFC prosecutes Mr Wong Chi Cheong for misleading SFC with false degree certificate and false financial status
SFC, 12-May-2004
Orgs
People