GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED公開紀律行動

公開紀律行動

SFC restricts accounts at 14 brokers for suspected manipulation of Smartac (0395)

SFC, 25-Jun-2019

機構

SFC suspends David Hui Lam Chiu, ex-Guoyuan Securities, for 6 months

SFC, 22-May-2017

He is now accredited to SSIF Securities Ltd and SSIF Asset Management Ltd.

機構

人物

SFC fines Guoyuan Securities Brokerage (HK) Ltd HK$4.5m for breaches of AML guidelines

SFC, 05-Apr-2017

機構

主題

Duncan Chui Tak Keung v MMT & Financial Secretary

HK Court of Appeal, 29-May-2013

機構

人物

MMT submits reports on dealings in Sino Katalytics (now Capital VC, 2324) shares

HK Government, 17-Aug-2012

機構

人物

Final MMT report on Sino Katalytics (now Capital VC, 2324)

Market Misconduct Tribunal, 16-Aug-2012

機構

人物

Duncan Chui Tak Keung & Peter Yau Chung Hong found culpable of false trading, price-rigging & market manipulation

Market Misconduct Tribunal, 09-Jul-2012

機構

人物

主題

GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED 國元証券經紀(香港)有限公司