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Personnel - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 57304)
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Public Disciplinary Actions
Court of Appeal says criminal procedures not applicable to SFC disciplinary process
SFC, 29-Nov-2010
Orgs
People
Asser Li Kwok Keung v SFC
HK Court of Appeal, 26-Nov-2010
Orgs
People
SFC suspends Asser Li Kwok Keung for 18 months
SFC, 23-Mar-2010
Orgs
People
Asser Li Kwok Keung v SFC
SFAT, 19-Mar-2010
Orgs
People
Alex Wong Mang Chung prosecuted for abetting and counseling a person to mislead the SFC
SFC, 12-Apr-2007
The ex-colleague was Asser Li Kwok Keung
Orgs
People
Asser Li Kwok Keung prosecuted for misleading the SFC
SFC, 03-Nov-2006
Orgs
People
SFC reprimands Mr Li Kwok Keung of Phillip Securities (HK) Ltd for soliciting agents on the web
SFC, 30-Nov-1999
Orgs
People