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EWARTON SECURITIES LIMITED 穎翔證券有限公司

证监会持牌机构
证监会中央编号:ADR667
CCASS ID:B01606
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
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公开纪律行动
SFC fines Ewarton Securities Ltd HK$1.5m
SFC
SFC, 27-May-2021
机构
人物
SFC suspends Mung Wai Sun, ex-Ewarton Securities, for 9 months
SFC
SFC, 21-Sep-2020
For discretionary dealing for a client without written authorisation, and putting his orders ahead of his client.
机构
人物
SFC fines Mr Chan Yu Man of Ewarton Securities Ltd HK$30k for short selling
SFC, 07-Sep-2005
机构
人物
主题
SFC fines Mr Yu Hing Fai of Ewarton Securities Ltd HK$40k for short selling
SFC, 07-Sep-2005
机构
人物
主题
SFC fines Mr Ng Yan Ngai of Ewarton Securities Ltd HK$40k for supervision failures
SFC, 07-Sep-2005
机构
人物
主题
SFC prosecutes Mr Yuen Pak Kan for giving false info on his financial status
SFC, 03-Feb-2005
机构
人物
SFC reprimands Ewarton Securities Ltd, Mr Kenneth Ng Ka Wing and Mr Alfred Yeung Sau Fung
SFC, 26-Apr-2001
机构
人物