SFC fines Profitech Securities Ltd HK$3.99m for regulatory breaches
SFC
SFC, 30-Sep-2024
Including a late-reported change of ownership from a "Mr T" on 1-Mar-2021. No, probably not the actor from the A-Team.
機構
SFC Restriction Notice on Profitech Securities Ltd
HK Gazette, 24-Nov-2023
Client shares have been pledged to a broker for margin loans without client authority. A substantial portion of the shares of an unnamed listed "Company Z" are involved. 3 of the 4 directors and 1 of the 2 Responsible Officers have quit. The SFC did not announce this action and we've only just noticed it in the Gazette Notices.