CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED 京華山一證券(香港)有限公司
SFC suspends Chris Lo Tsz On for one year
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
SFC, 12-Oct-2016
For fiddling entertainment expenses at Core Pacific-Yamaichi. After that, he moved to KGI until 8-Oct-2016. He was downgraded from Responsible Officer to Representative on 16-Nov-2015, 6 days after his sentencing to 240 hours of Community Service by Eastern Magistrates' Court.
SFC prosecutes David Cheung Hon Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 9-Jun-2000
SFC, 9-Jun-2000
SFC suspends Ms Hui Shan Shan, ex-Core Pacific Yamaichi, for 4 months for reckless recommendations
SFC, 10-Feb-2000
SFC, 10-Feb-2000
SFC prosecutes Cheung Chi Ming & Foo Kwok Chung for unregistered dealing at Core Pacific-Yamaichi
SFC, 23-Nov-1999
SFC, 23-Nov-1999
SFC reprimands Mr Tsui Moon Kwong of Core Pacific-Yamaichi for front-running and naked short-selling in girlfriend's account
SFC, 21-Oct-1999
SFC, 21-Oct-1999
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