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Personnel - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 102694)

Personnel

Key Data SFC Licenses Public Disciplinary Actions

Public Disciplinary Actions

SFC prosecutes Mr Spencer Lam Kwong Tim for failing to notify SFC of liquid capital deficiencies

SFC, 30-Mar-2004

Orgs

People

SFC reprimands Mr Spencer Lam Kwong Tim of Tai Wah Securities Ltd

SFC, 12-Oct-2000

Orgs

People