DELTA ASIA SECURITIES LIMITED公开纪律行动

公开纪律行动

SFC fines Ms Conita Hung Lai Ping HK$150k for managerial and supervisory failures

SFC, 19-Aug-2014

She is now a Responsible Officer of Amicus Asset Management Ltd.

机构

人物

SFC fines Delta Asia Securities Ltd HK$4m

SFC, 04-Jun-2014

...for using securities belonging to some clients to settle sales by other clients.

机构

SFC prosecutes Delta Asia Securities Ltd for issuing IPO application forms without a prospectus

SFC, 03-Feb-2005

机构