SFC bans Poon Kin Lung, ex-Phillip Securities, for 2 years
SFC, 15-Dec-2016
機構
人物
SFC bans Wong Lap Yin, ex-Phillip Securities, for 3 years
SFC, 01-Aug-2016
機構
人物
SFC bans Chan Chi Yuen, ex-Phillip Securities, for 18 months
SFC, 13-Oct-2015
機構
人物
主題
Duo Charged for alleged HK$365k bribery over trading in securities
ICAC, 07-Apr-2014
We note that Ms Ching Yim Har was suspended by the SFC for 3 years on 14-Aug-2013.
機構
人物
SFC suspends Mr Chan Chi Ki of Phillip Securities for 6 months
SFC, 01-Apr-2014
機構
人物
SFC suspends Stephen Cho Yu Kwan for 3 years and fines Ju You Li HK$100k
SFC, 25-Nov-2013
The statement alludes to how underground "money changers" collect RMB deposits in the mainland and then cause HKD to be deposited in HK, evading the PRC capital controls.
機構
人物
Mr Chan Chi Yuen, ex-Phillip Securities, convicted of naked short selling
SFC, 31-Oct-2013
機構
人物
主題
SFC suspends Ms Ching Yim Har, ex-Phillip Securities (HK) Ltd, for 3 years
SFC, 14-Aug-2013
機構
人物
SFC bans Leung Kau Fung for 9 months
SFC, 07-Nov-2012
機構
人物
Broker Ng Kwok Wing convicted of illegal short selling
SFC, 25-Oct-2012
機構
人物
主題
SFC fines Mr Ian So Kwok Wai, ex-Phillip Commodities (HK) Ltd, for improper audit trail
SFC, 19-Dec-2011
機構
人物
Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
機構
人物
SFC fines Chan Hon Man HK$134,580
SFC, 31-Aug-2010
機構
人物
主題
SFC suspends Mr Chin Man Chung, ex-Phillip Securities, and fines him HK$71,500 for market manipulation
SFC, 20-Aug-2007
機構
人物
主題
SFC suspends Runter Yeung Hok Huen for 1 month for conducting unlicensed activities
SFC, 29-Mar-2005
機構
人物
SFC suspends Mr Raymond Chan Shek Hong for 6 months for unregistered portfolio management and breaching Code of Conduct