We look at the collapse of Tiffit Securities and what lessons the SFC can learn from it. In our view, they should have shut this firm down and banned its operator 3 years ago, after a second regulatory offence and a criminal prosecution. The owner and his firms were also in trouble in Australia in 2001 and 2002
机构
人物
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SFC fines Luen Fat Securities Co Ltd and its Responsible Officer Teresa Wong Shue Yung for internal control failings