China Tonghai Securities Limited 中國通海證券有限公司

SFC bans Mr Chan Yiu Ting, ex-China Tonghai Securities, for 18 months
SFC, 12-Aug-2020
For discretionary dealing for 7 years without the client's written authorization. It apparently took the broker that long to notice.
SFC bans Katherina Lo Ka Shun, ex-Quam, for 2 years
SFC, 25-Feb-2015
SFC suspends Stephen Cho Yu Kwan for 3 years and fines Ju You Li HK$100k
SFC, 25-Nov-2013
The statement alludes to how underground "money changers" collect RMB deposits in the mainland and then cause HKD to be deposited in HK, evading the PRC capital controls.
SFC suspends Sky Cheung Shi Gaii for 30 months and fines him HK$0.5m
SFC, 8-Apr-2013
One year's jail for HK$600k sub-underwriting commissions fraud
ICAC, 18-Sep-2012
Billion Global Asset Management and its director convicted of unlicensed activities
SFC, 6-Sep-2011
The company is now known as HR Marketing Consultants Limited.
SFC fines Quam Securities Co Ltd HK$1m and Mr Calvin Chiu Chun Kit HK$0.3m over internal controls
SFC, 19-May-2011
Ex-Quam Securities director charged with $600k sub-underwriting commissions fraud
ICAC, 3-Mar-2011
SFC suspends Mr Wong Ho Fei for 3 months for misconduct
SFC, 4-Feb-2008
SFC suspends Mr Kenny Ho Yui Kwong for 6 months for misleading the SFC
SFC, 24-Oct-2003

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