T G HOLBORN (HK) LIMITED公開紀律行動

公開紀律行動

Universal Insurance Consultants & Brokers Ltd & Ms Au Mei Chun acquitted

SFC, 03-Jan-2013

機構

人物

Insurance agents Lau Chun Yin & Chau Chi Ho convicted of selling investment fund without licences

SFC, 17-Aug-2012

機構

人物

Miss Jovin Chim Chai Shan v SFC

SFAT, 31-Mar-2006

機構

人物

SFAT upholds SFC decision to suspend Ms Jovin Chim Chai Shan for 4 months for dishonestly signing internal documents

SFC, 29-Mar-2006

機構

人物

SFC reprimands Mr Gary Yau Shu Cheung for improper conduct in handling internal documents

SFC, 01-Feb-2006

Mr Yau makes "voluntary payment" of HK$146k to SFC instead of 1 month off.

機構

人物

SFC prosecutes Ms Wong Lee Chun for unlicensed investment advising & Mr Benjamin Li Ping Hei for aiding & abetting unauthorised advertising

SFC, 10-Nov-2004

機構

人物

Unregistered staff at TG Holborn fined

South China Morning Post, 05-Dec-2003

機構

人物

SFC prosecutes Mr Theodore Moy Kwok Chiu for acting as an investment representative whilst unregistered

SFC, 04-Dec-2003

機構

人物

SFC prosecutes Mr Thomas Chan Pui Sing for acting as investment representative of T G Holborn (HK) Ltd whilst unregistered

SFC, 16-Sep-2003

機構

人物

SFC prosecutes Mr Wong Wai Kuen for acting as investment representative of T G Holborn (HK) Ltd whilst unregistered

SFC, 09-Sep-2003

機構

人物

T G HOLBORN (HK) LIMITED 浩邦(香港)有限公司