TAI WAH SECURITIES LIMITED 大華證券有限公司

SFC 牌照已失效已注销

证监会中央编号:AEF920

CCASS ID:B01635

公开纪律行动

SFC extends suspension of Ms Mary See Ting Hing for improper trading via clients' accounts

SFC, 11-Jul-2005

机构

人物

SFC suspends Ms Mary See Ting Hing for 8 months for personal trading via clients' accounts and misallocating client's order

SFC, 16-Feb-2005

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人物

SFC prosecutes Mr Spencer Lam Kwong Tim for failing to notify SFC of liquid capital deficiencies

SFC, 30-Mar-2004

机构

人物

Re winding up of Tai Wah Securities Ltd

HK Court of First Instance, 13-Oct-2003

机构

Tai Wah Securities Limited suspends trading, defaults on settlement

SFC, 03-Apr-2003

机构

SFC reprimands Mr Spencer Lam Kwong Tim of Tai Wah Securities Ltd

SFC, 12-Oct-2000

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人物