SFC bans Mr Kris Cheung Kwok Chiu forever for poor financial integrity and lying to the SFC
SFC, 10-Nov-2004
機構
人物
SFC suspends Johnnie Chan Wai Chow for 4 weeks & reprimands Lei Shing Hong Securities Ltd & Susanna Lau Shun King over internal controls
SFC, 13-Oct-2003
機構
人物
SFC takes action against Leung Wing Fai and suspends Mr George Ho Chu Ming and Mr Heng Hian Mok
SFC, 28-Jan-2003
The 3 brokers at 3 different firms were involved in providing the required 100 placees of 33 issues of derivative warrants using "some 30" discretionary accounts each and then selling them back to the issuer the next day.
機構
人物
SFC prosecutes Mr Heng Hian Mok, ex-Lei Shing Hong Securities Ltd, for naked short selling
SFC, 26-Nov-2002
機構
人物
Action against Lei Shing Hong Securities Ltd & Mr Johnnie Chan Wai Chow
SFC & SEHK, 10-Oct-1999
機構
人物
SFC reprimands Mr Percy Lam Wai Hung for unregistered dealing