SFAT affirms SFC decision to fine FT Securities HK3.5m
SFC, 24-Jun-2019
For research reports in 2012 and 2013 on Neptune Group Ltd (now Rich Goldman (0070)) and Chinese Food & Beverage (8272).
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SFC suspends Ms Chan Ho Wai & Mr Lam Wai Kit, ROs of FT Securities, for 9 months
SFC, 10-Dec-2018
This relates to 3 equity research reports issued between Jul-2012 and Apr-2013. We don't yet know for sure what the subject(s) of those reports were, as FT Securities is appealing against disciplinary action. However, we see only 3 research reports on the Financial Technicians web site and the dates match, of which 2 are on Neptune Group (now Rich Goldman, 0070) and 1 on Chinese Food & Beverage (8272).