SFC withdraws Restriction Notice to broker over client's suspected insider dealing after obtaining court order to freeze assets
SFC
SFC, 19-Nov-2024
机构
人物
主题
SFC freezes broker client account linked to suspected insider dealing
SFC
SFC, 17-Aug-2022
According to the Restriction Notice, the client of Bright Smart Securities is suspected of dealing on inside information obtained from a person connected to an unnamed listed corporation.
机构
人物
主题
SFC bans Mr Yuen Siu Lun, ex-Bright Smart (1428), for 7 years
SFC, 24-Mar-2016
机构
人物
SFC fines Bright Smart HK$0.7m
SFC, 29-Jul-2014
机构
SFC fines Bright Smart Securities Intl (HK) Ltd HK$75k & Mr Chan Pang HK$60k for aiding & abetting unlicensed dealing and other misconduct
SFC, 24-Oct-2005
机构
人物
SFC prosecutes Mr Ng Ka Man for unlicensed dealing and Mr Chan Pang for aiding & abetting at Bright Smart Securities Intl (HK) Ltd
SFC, 05-May-2005
机构
人物
SFC fines Bright Smart & Mr Peter Yip Mow Lum for false and misleading advertisements despite repeated warnings