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Personnel - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 79358)
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Public Disciplinary Actions
Public Disciplinary Actions
SFC fines Ewarton Securities Ltd HK$1.5m
SFC
SFC, 27-May-2021
Orgs
People
SFC suspends Mung Wai Sun, ex-Ewarton Securities, for 9 months
SFC
SFC, 21-Sep-2020
For discretionary dealing for a client without written authorisation, and putting his orders ahead of his client.
Orgs
People