Personnel - 公開紀律行動 | 香港證監會持牌人士（編號 100555）

SFC bans Sammy Shiu Kin Keung and Wat Hin Pong, ex-China Rise Securities, for 28 months and 7 months respectively

SFC, 31-Mar-2020

Mr Wat has since moved on to Canfield Securities Co Ltd.

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人物

SFC fines China Rise Securities Asset Management HK$6.3m for regulatory breaches and internal control failures

SFC, 31-Oct-2019

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人物

Former Responsible Officer convicted and fined for illegal short selling

SFC, 09-Jun-2017

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人物