WINGS SECURITIES (HK) LIMITED公开纪律行动

公开纪律行动

SFC suspends Mr Lau Tai Che for 6 months

SFC, 12-Nov-2009

机构

人物

Mr Lee Siu Hung surrenders licences for at least 5 months for providing false information at SFC interview

SFC, 19-Jun-2006

机构

人物

SFC suspends Mr Chan Ho Yin for 15 months for breaches of Code of Conduct

SFC, 15-Jun-2006

机构

人物

SFC reprimands Ms Charlotte Cheung Ngai Yi for breaching Code of Conduct and Internal policy of ex-employer

SFC, 29-Sep-2005

机构

人物

SFC suspends Mr Kenneth Chow King Yu for 3 months & Mr Tsoi Wai Keung for 1 month

SFC, 15-Nov-1999

机构

人物

SFC reprimands dealer's representative Mr Lai Tai Wai, ex-OSK Asia Securities Ltd

SFC, 15-Jul-1999

机构

人物