Southwest Securities International Securities Limited

SFC fines Southwest Securities (HK) Brokerage HK$5m for breaches of anti-money laundering requirements
SFC, 18-May-2020
This is a subsidiary of Southwest Securities (0812).
SFC publicly criticises Southwest Securities International Investment Ltd, Li Zhi Tao and Dong Jiang Wen for breach of the Takeovers Code
SFC, 14-Dec-2016
This relates to purchases of shares in SWSI (0812) during the "national team" intervention in Jul-2015.
Concentration warning in Tanrich (812)
SFC, 26-May-2011
This follows a complaint made to the SFC by Webb-site on 4-May-2011.
SFC reprimands and fines Tanrich Futures Ltd, bans Mr Yip Man Fan for 9 months
SFC, 2-Jun-2009
Yes, but he's still the Chairman and controlling shareholder of the brokerage's listed owner, Tanrich Financial Holdings Ltd.
SFC prohibits Ben Chan Ka Cheuk from re-entering industry for 4 months for cold calling
SFC, 3-Nov-2008
Comment: this is the 15th employee of Tanrich to be disciplined since 2004. Surely at some point the SFC should revoke the firm's license?
SFC suspends Ms Chow Yin Shan for 8 months
SFC, 27-Jun-2007
SFC suspends Mr Bowie So Chi Kit for 6 months
SFC, 2-May-2007
SFC suspends Ms Leung Wing for 9 weeks
SFC, 27-Apr-2007
SFC bans Mr Sze Fan Hoi for 7 months
SFC, 26-Apr-2007
Ms Leung Wing v SFC
SFAT, 25-Apr-2007
SFC suspends Mr Calvin Ting Chun Hin for 2 months
SFC, 22-Mar-2007
SFC suspends Ms Ip Pui Lan of Tanrich Futures Ltd for 4 months
SFC, 22-Nov-2006
SFC bans Mr Leung Chin Pang for 6 months for cold calling and failing to give reasonable investment advice
SFC, 19-Jul-2006
SFC suspends Mr Keung Man Bun for 6 months
SFC, 6-Jun-2006
SFC bans Mr Chau Sik Ki for 4 months for cold calling
SFC, 26-Apr-2006
SFC suspends Agnes Mak Wing Shun for 4 months for failures to comply with SFO and to give reasonable investment advice
SFC, 31-Mar-2006
SFC bans Mr Wong Yu Kit for 6 months
SFC, 13-Mar-2006
SFC bans Mr Lam Wing Chit for 3 months
SFC, 1-Mar-2006
SFC prosecutes Mr Chau Sik Ki for cold calling
SFC, 24-Jan-2006
SFC bans Mr Chow Wai Ho for 3 months for cold calling
SFC, 11-Jan-2006
SFC prosecutes Ms Leung Wing for cold calling
SFC, 1-Dec-2005
SFC prosecutes Mr Lam Wing Chit for cold calling
SFC, 17-Nov-2005
SFC prosecutes Agnes Mak Wing Shun for cold calling
SFC, 10-Nov-2005
SFC prosecutes Mr Chow Wai Ho for cold calling
SFC, 29-Sep-2005
SFC suspends Mr Shiu Yau Wah for 4 months for cold calling
SFC, 15-Dec-2004
SFC suspends Mr Dickson Kam Chun Wah, for 3 months for account opening failings
SFC, 15-Dec-2004
SFC prosecutes Miss Mean Lam Suk Kuen and Mr Lau Chun Kwok for cold calling
SFC, 30-Sep-2004
Cold calling is illegal
SFC, 27-Sep-2004
SFC reprimands Tanrich Futures Ltd for internal control failures
SFC, 21-Apr-2004
SFC prosecutes Mr Shiu Yau Wah for cold calling
SFC, 21-Apr-2004
SFC reprimands Ms Elaine Lau Yim Ling for impropriety
SFC, 21-Apr-2004
Tanrich and the Pay Loophole
We tell you how the Chairman and controlling shareholder of a listed futures firm received a 381% pay rise just 8 months after the IPO. It's a classic exploitation of the pay loophole in the Listing Rules, and there is nothing you can do about it until the rules are amended to allow minority shareholders' approval of excessive pay increases. (17-Mar-2004)
Tanrich Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 13-Sep-2001
Pan Guoqiang prosecuted for misleading SFC in application to join Tanrich Futures Ltd
SFC, 12-Nov-1999

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