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Shiu, Sammy Kin Keung 蕭健強 - 公开纪律行动 | 香港证监会持牌人士（编号 100555）
Shiu, Sammy Kin Keung 蕭健強
证监会中央编号:
AAA540
关键资料
证监会牌照
公开纪律行动
公开纪律行动
SFC bans Sammy Shiu Kin Keung and Wat Hin Pong, ex-China Rise Securities, for 28 months and 7 months respectively
SFC, 31-Mar-2020
Mr Wat has since moved on to Canfield Securities Co Ltd.
机构
人物
SFC fines China Rise Securities Asset Management HK$6.3m for regulatory breaches and internal control failures
SFC, 31-Oct-2019
机构
人物
Former Responsible Officer convicted and fined for illegal short selling
SFC, 09-Jun-2017
机构
人物