STOCKWELL SECURITIES LIMITED公開紀律行動

公開紀律行動

SFC fines Mr Ng Hung Kan, ex-Stockwell Securities Ltd, HK$44k for secret account

SFC, 08-Nov-2006

機構

人物

SFC suspends Mr Johnnie Choy Tin Woo for 5 months for misleading SFC and naked short selling

SFC, 18-Oct-2004

機構

人物

SFC suspends Mr Chu Sung Hei of Stockwell Securities Ltd for 15 weeks for client account failings

SFC, 20-Jul-2004

機構

人物

SFC reprimands Mr Luk Kwok On for improperly applying for excess rights issue shares via his relative's account

SFC, 05-Jan-2004

機構

人物

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

機構

人物

主題

STOCKWELL SECURITIES LIMITED 常滙證券有限公司