DBS VICKERS (HONG KONG) LIMITED公開紀律行動

公開紀律行動

SFC bans Samuel Lee Kwok Tung, ex-DBS Vickers, for 8 months for impersonating client by phone

SFC, 19-Aug-2019

機構

人物

SFC fines DBS Vickers (HK) Ltd HK$2m for internal control failures

SFC, 16-Mar-2017

機構

SFC suspends Mr Ho Siu Po, ex-DBS Vickers, for 7 months

SFC, 20-Oct-2014

機構

人物

SFAT affirms SFC decision to suspend Winda Sham Pik Yan for operating secret account

SFC, 22-Feb-2011

機構

人物

Ms Winda Sham Pik Yan v SFC

SFAT, 18-Feb-2011

"We did not find Ms Sham to be a witness worthy of belief."

機構

人物

SFC suspends Dennis Chung Yan for 8 months

SFC, 09-Feb-2009

機構

人物

SFC reprimands Mr Cheng Lit Ming for breaching Code of Conduct and employer's internal policies

SFC, 06-Feb-2004

機構

人物

SFC reprimands Michael Yau Cheuk Hong for improperly allowing a third party to place orders for his clients

SFC, 26-Feb-2003

機構

人物

DBS VICKERS (HONG KONG) LIMITED 星展唯高達香港有限公司