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Personnel - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 100555)
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Public Disciplinary Actions
Public Disciplinary Actions
SFC bans Sammy Shiu Kin Keung and Wat Hin Pong, ex-China Rise Securities, for 28 months and 7 months respectively
SFC, 31-Mar-2020
Mr Wat has since moved on to Canfield Securities Co Ltd.
Orgs
People
SFC fines China Rise Securities Asset Management HK$6.3m for regulatory breaches and internal control failures
SFC, 31-Oct-2019
Orgs
People
Former Responsible Officer convicted and fined for illegal short selling
SFC, 09-Jun-2017
Orgs
People