Mason Securities Limited公开纪律行动

公开纪律行动

SFC fines Mason Securities Ltd HK$3.6m for breaches of anti-money laundering regulatory requirements

SFC

SFC, 15-Dec-2021

机构

SFC bans Mr Lau Kwo, ex-Mason Securities/Futures Ltd, for 12 months

SFC

SFC, 05-Jul-2021

机构

人物

SFC suspends Sandra Cheung Wing Yi for a year

SFC

SFC, 29-Oct-2020

For dealing through an undisclosed external account. She has since moved on from Mason Securities to Sun Growth Securities.

机构

人物

SFAT upholds SFC decision to suspend analyst Mr Eric Wong Wing Fai for 18 months for front-running research reports

SFC, 02-Aug-2004

机构

人物

Mr Eric Wong Wing Fai v SFC

SFAT, 02-Aug-2004

机构

人物

SFC revokes registration of Ms Winnie Leung Yuen Yee for misconduct

SFC, 17-Mar-2003

机构

人物

SFC reprimands Mazie Tsoi Siu Lan

SFC, 23-Mar-2000

机构

人物