SFC revokes licences of Goodcape Securities Ltd and ROs Tang Lin Sun and Chang Siu Ming
SFC, 15-Dec-2016
As of August 2016, about 388 clients have reported losses of about HK$127.8m.
机构
人物
LCQ: introducing brokers or "runners" in HK
HK Legislative Council, 04-Feb-2015
机构
SFC restricts Goodcape Securities after client couldn't get stock back
SFC, 02-Jan-2015
Webb-site Who's Who shows that this sub-broker, which cannot hold client assets, has only had 4 licensed staff since it began business on 6-Dec-2005, all of whom are still there. It introduces business to Paul Securities Ltd and Lamtex Securities Ltd.