BNP PARIBAS SECURITIES (ASIA) LIMITED公开纪律行动

公开纪律行动

SFC bans Abbie Yip Ka Ying, ex-BNP Paribas, for 18 months

SFC, 13-Dec-2017

For covering up a fat-finger trading error.

机构

人物

SFC fines BNP Paribas Securities (Asia) Ltd HK$15m for dark liquidity pool-related failures

SFC, 03-Aug-2015

机构

SFC fines BNP Paribas Securities (Asia) Ltd HK$11m for failing to report cross trades

SFC, 01-Jun-2015

机构

SFC suspends Mr Thomas Tong Chuck Yee for 10 months for breaching Code of Conduct and misleading the SFC

SFC, 10-Apr-2006

机构

人物

SFC suspends Edwin Tang Chi Wai for 3.5 months for breaches of Code of Conduct and staff compliance manual

SFC, 16-Aug-2005

机构

人物

主题

SFC fines BNP Paribas Peregrine Securities Ltd HK$375k for late reporting of FRR breaches

SFC, 10-Nov-2004

机构

SFC suspends Mr Kenny Ho Yui Kwong for 6 months for misleading the SFC

SFC, 24-Oct-2003

机构

人物

SFC publicly reprimands BNP Prime Peregrine Securities Ltd

SFC, 13-Mar-2000

For settlement issues after the HK Government's stock market buying blitz of 28-Aug-1998.

机构

BNP PARIBAS SECURITIES (ASIA) LIMITED 法國巴黎證券(亞洲)有限公司