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KGI SECURITIES (HONG KONG) LIMITED 凱基證券(香港)有限公司

SFC 牌照已失效已註銷
證監會中央編號:ADT493
CCASS ID:B01610
主要資料人員證監會牌照牌照條件公開紀律行動CCASS 持倉分佈
公開紀律行動
HKICPA bans Mr Wong Tam Yee (fka Wong Sin Lai/Lei) for 2 years
HKICPA, 30-Jul-2020
機構
人物
SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
機構
人物
Excel Courage Holdings Ltd & another v Wong Sin Lai/Lei (fka Wong Tam Yee) & others
HK Court of First Instance, 26-Feb-2016
Para 118: "This leaves the clear impression of there being someone other than Mr Sin controlling matters on behalf of Huge Leader or Excel who is not willing to make themselves or their capacity known to the court for the purpose of these proceedings."
機構
人物
Excel Courage Holdings Ltd & another v Wong Sin Lai/Lei (fka Wong Tam Yee) & others
HK Court of First Instance, 14-Aug-2014
機構
人物
Excel Courage Holdings Ltd & another v Wong Sin Lai/Lei (fka Wong Tam Yee) & others
HK Court of Appeal, 30-May-2014
Para 4: "[Hung Ka Leung] is a business man who has been investing in the property and stock market in Hong Kong. He comes from a well-off family and his father is a person of influence in Xiamen, China."
機構
人物
SFC tackles secret accounts and bans Mr Yeung Hon Fat, ex-KGI Asia, for life
SFC, 30-Jul-2007
機構
人物