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Public Disciplinary Actions
Roger Tsui Chi Fung banned for 9 months for providing false information to SFC
SFC, 26-Aug-2014
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Former licensee convicted of providing SFC false or misleading information
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of Final Appeal, 01-Apr-2004
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of Appeal, 02-May-2003
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of Appeal, 14-Feb-2003
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 13-Jul-2002
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of Appeal, 07-Jun-2002
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 18-Oct-2001
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 16-Jul-2001
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OSK Asia Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 07-Jun-2001
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People