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Personnel - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 62083)
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Public Disciplinary Actions
Public Disciplinary Actions
SFC suspends Mona Wong Wai King for 3 months
SFC, 17-Dec-2003
Orgs
People
Mona Wong Wai King v SFC
SFAT, 16-Dec-2003
Orgs
People
SFC reprimands Concord Capital Securities Ltd for internal control failures
SFC, 09-Dec-2003
Orgs
People
SFC prosecutes Chan Shing Chun for naked short selling and market manipulation and Johnnie Choy Tin Woo for naked short selling
SFC, 25-Mar-2003
Orgs
People
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