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TAI WAH SECURITIES LIMITED公开纪律行动
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
关键数据
人员
证监会牌照
牌照条件
公开纪律行动
CCASS 持仓分布
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
机构
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
机构
人物