SDIC Securities International Financial Holdings Limited 國投證券國際金融控股有限公司

SFC 牌照已失效

證監會中央編號:ADS612

CCASS ID:B01605

SFC 牌照已失效

證監會中央編號:ADS612

CCASS ID:B01605

公開紀律行動

SFC suspends Chan Yuk Chun, ex-China Southern Securities (HK) Ltd, for 3 months

SFC, 05-Mar-2007

機構

人物

主題

SFC fines China Southern Securities (Hong Kong) Ltd HK$0.4m & Mr Cheung Tung Woon HK$35k for FRR breaches

SFC, 20-Jul-2005

機構

人物

SFC reprimands Mr Cheung Tung Woon & China Southern Securities (Hong Kong) Ltd for poor internal controls

SFC, 14-Sep-2004

機構

人物

SFC reprimands Mr Wong Ching Lau

SFC, 13-Jan-2004

機構

人物

SFC reprimands Mr Li Cheung for failings in warrants placements and personal trading behind employer's back

SFC, 28-Mar-2003

機構

人物

SFC reprimands Mr Ringo Leung Wai Yip for failings to tell employer that accounts were discretionary

SFC, 19-Dec-2002

機構

人物

SFC reprimands Mr Chan Ping Kuen of South Capital Brokerage Ltd

SFC, 26-Jul-2001

機構

人物