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TIS SECURITIES (HK) LIMITED Public Disciplinary Actions
TIS SECURITIES (HK) LIMITED 金鼎綜合證券(香港)有限公司
SFC Inactive
SFC ID:
ACF696
CCASS ID:
B01652
Key Data
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SFC Licenses
Conditions
Public Disciplinary Actions
CCASS Distribution
Public Disciplinary Actions
SFC settles disciplinary action with Victor Wong Seng In
SFC, 08-Nov-2004
Mr Wong buys himself out of a 3-month suspension for HK$40k.
Orgs
People
SFC suspends Mr Kwok Wai Keung for 12 months for front running
SFC, 06-May-2003
Orgs
People
Topics
SFC suspends Mr Cheung Sai Leung & Ms Mak Yuen Yee Selina of TIS Taiwan International Securities (HK) Ltd
SFC, 18-Jan-2001
Orgs
People