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SDIC Securities International Financial Holdings Limited 國投證券國際金融控股有限公司

SFC 牌照已失效
证监会中央编号:ADS612
CCASS ID:B01605
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公开纪律行动
SFC suspends Chan Yuk Chun, ex-China Southern Securities (HK) Ltd, for 3 months
SFC, 05-Mar-2007
机构
人物
主题
SFC fines China Southern Securities (Hong Kong) Ltd HK$0.4m & Mr Cheung Tung Woon HK$35k for FRR breaches
SFC, 20-Jul-2005
机构
人物
SFC reprimands Mr Cheung Tung Woon & China Southern Securities (Hong Kong) Ltd for poor internal controls
SFC, 14-Sep-2004
机构
人物
SFC reprimands Mr Wong Ching Lau
SFC, 13-Jan-2004
机构
人物
SFC reprimands Mr Li Cheung for failings in warrants placements and personal trading behind employer's back
SFC, 28-Mar-2003
机构
人物
SFC reprimands Mr Ringo Leung Wai Yip for failings to tell employer that accounts were discretionary
SFC, 19-Dec-2002
机构
人物
SFC reprimands Mr Chan Ping Kuen of South Capital Brokerage Ltd
SFC, 26-Jul-2001
机构
人物