RHB SECURITIES HONG KONG LIMITED 興業金融證券有限公司

Bubbles and troubles in Hong Kong
Pour yourself a coffee and digest this long article as we investigate several ongoing abusive "open offers" and placings as well as show you who's been making out in multi-billion-dollar bubbles. We call on regulators and rule-makers to take action. (24-Sep-2015)
Roger Tsui Chi Fung banned for 9 months for providing false information to SFC
SFC, 26-Aug-2014
Former licensee convicted of providing SFC false or misleading informationFINRA settlement
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
SFC bans Ms Luk Ping for 10 months
SFC, 8-Apr-2013
SFC suspends Ms Ho Ying, formerly of OSK securities, for 5 months
SFC, 5-Feb-2010
SFC suspends Ms Lolitta Tong Lee Mei Wah for 4 months for unauthorised trading
SFC, 9-Mar-2005
SFC reprimands Prudence Securities Co Ltd & suspends Mr Kenneth Or Wai Hung for 6 months for internal control failings
SFC, 7-Apr-2004
SFC revokes licence of Simon Tam Siu Ki for rat trading and other trading malpractices
SFC, 30-Oct-2003
SFC reprimands Mr Chan Sum Kiu for failure to verify a client's identity
SFC, 30-Oct-2003

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