CELESTIAL COMMODITIES LIMITED公开纪律行动

公开纪律行动

SFC fines Celestial Commodities & Celestial Securities HK$6.3m for mishandling client money

SFC, 10-Jul-2019

Both are owned by Cash Financial Services (0510).

机构

SFC suspends Mr Chan Hung Nin of Celestial for 15 months

SFC, 08-Aug-2014

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人物

SFC fines broker Karl Wu Kin Chung HK$40k for breaching telephone recording requirement

SFC, 14-Sep-2011

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人物

Tsang Wah Nam v SFC

SFAT, 20-Jan-2010

A representative of a brokerage loses his appeal to retain his licence during personal bankruptcy.

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人物

Life ban for Mr Lee Kin Hang for abusing client assets

SFC, 21-Jul-2008

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人物

SFC suspends Mr Alex Mak Ka Bo for 6 months for misleading SFC investigation

SFC, 20-Dec-2007

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人物

SFC suspends Mr Wong Chung of Celestial Securities Ltd for 3 months

SFC, 17-May-2007

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人物

SFC prosecutes Alex Mak Ka Bo and Angela Yip Kit Yin for misleading SFC

SFC, 10-Aug-2006

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人物

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

SFC, 15-Jun-2006

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人物

SFC reprimands Mr Tsui Wing Kit, ex-Celestial Commodities Ltd, for breaching Code of Conduct

SFC, 10-Nov-2005

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人物

SFC prosecutes Mr Lung Chai Yu for cold calling

SFC, 17-Mar-2004

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人物

SFC reprimands Ms Cheung Lai Ping of Celestial Commodities Ltd for failure to handle client complaints properly

SFC, 02-Jul-2003

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人物

SFC suspends Ms Wong Bo Chu, ex-Celestial, for 6 months for trading in black market HSI Futures Contracts

SFC, 20-Jul-2001

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人物

SFC revokes registrations of Mr Chau Tat Ming for abuse of client assets

SFC, 15-Mar-2001

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人物

Cheerful Commodities inquiry result; Mr Law Chor Yam suspended for 6 months

SFC, 25-Jun-1999

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人物

CELESTIAL COMMODITIES LIMITED 時富商品有限公司