Yip Chi Wing (ex-KGI Asia Ltd) and Tsoi Chiu Kwan (ex-South China Securities Ltd) jailed for 3 months for false trading
SFC
SFC, 17-May-2024
In shares of Times Universal (2310), then known as Forebase International Holdings Ltd, in 2015-2016.
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人物
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Court convicts former licensees Yip Chi Wing (ex-KGI Asia Ltd) and Tsoi Chiu Kwan (ex-South China Securities Ltd) of false trading in Times Universal (2310) in 2015-16
SFC
SFC, 25-Apr-2024
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SFC fines South China Securities Ltd HK$500k
SFC, 19-Dec-2007
機構
SFC fines Richard Howard Gorges HK$250k, suspends type 6 licence
SFC, 19-Dec-2007
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SFC fines Mr Allan Wong Ding Pong & Ms Jabriel Yau Man Yuk of South China Securities Ltd
SFC, 13-Aug-2007
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SFC suspends Mr Lo Chiu Wai for 9 months for conflicts of interest and unsound advice
SFC, 29-Mar-2005
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人物
SFC reprimands Mr Tam Chi Shing for breaching Code of Conduct
SFC, 22-May-2003
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人物
SFC reprimands South China Securities Ltd
SFC, 22-Nov-2002
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人物
SFC suspends registrations of Mr Tam Yui Man for 2 months
SFC, 14-Mar-2002
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人物
SFC prosecutes Mr Wong Lai Ho for unregistered dealing at South China Securities Ltd
SFC, 17-Oct-2001
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SFC prosecutes Mr Tam Yui Man for aiding & abetting unregistered dealing
SFC, 05-Oct-2001
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人物
SFC prosecutes Mr Yu Chi Sing for unregistered dealing at South China Securities Ltd
SFC, 27-Sep-2001
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SFC prosecutes Mr Kwok Wai Leung for unregistered dealing at South China Securities Ltd
SFC, 25-Sep-2001
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人物
SFC prosecutes Ms Lam Yik Mang & Mr Lai Tik Kei for unregistered dealing
SFC, 03-Jul-2001
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SFC suspends Mr Anthony Kwong Kin Fai of South China Securities Ltd for 3 weeks
SFC, 26-Apr-2001
The unregistered employee was probably Mr Lam Ying Chi, who was later registered. He was reprimanded on 22-Mar-2001.
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SFC reprimands Mr Lam Ying Chi for unregistered dealing
SFC, 22-Mar-2001
Note: the senior colleague was probably Mr Anthony Kwong Kin Fai, at South China Securities Ltd. He was reprimanded later, on 26-Apr-2001.