SFC bans Song Peng, ex-Phillip Securities, for 10 months
SFC, 12-Jul-2019
For discretionary trading a client's account without written authorisation.
SFC bans Poon Kin Lung, ex-Phillip Securities, for 2 years
SFC, 15-Dec-2016
SFC bans Wong Lap Yin, ex-Phillip Securities, for 3 years
SFC, 1-Aug-2016
SFC bans Chan Chi Yuen, ex-Phillip Securities, for 18 months
SFC, 13-Oct-2015
SFC fines Phillip Securities (HK) Ltd HK$1m for mis-selling
SFC, 16-Jun-2015
Ex-Philiip Securities broker & client jailed for bribery
ICAC, 3-Sep-2014
6 clients of Phillip Securities charged with offering illegal commissions
ICAC, 25-Apr-2014
Duo Charged for alleged HK$365k bribery over trading in securities
ICAC, 7-Apr-2014
We note that Ms Ching Yim Har was suspended by the SFC for 3 years on 14-Aug-2013.
SFC suspends Mr Chan Chi Ki of Phillip Securities for 6 months
SFC, 1-Apr-2014
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.
Mr Chan Chi Yuen, ex-Phillip Securities, convicted of naked short selling
SFC, 31-Oct-2013
SFC suspends Ms Ching Yim Har, ex-Phillip Securities (HK) Ltd, for 3 years
SFC, 14-Aug-2013
SFC bans Ma Tin Luk for 3 years
SFC, 29-Apr-2013
SFC bans Mr Chow Chun Tung, ex-Phillip Securities (HK) Ltd, for 5 years
SFC, 24-Apr-2013
SFC suspends Mr Ng Kwok Wing for 6 weeks after naked short-selling conviction
SFC, 4-Mar-2013
SFC bans Leung Kau Fung for 9 months
SFC, 7-Nov-2012
Broker Ng Kwok Wing convicted of illegal short selling
SFC, 25-Oct-2012
SFC revokes licence of Paco Ng Kar Lun and bans Adrian Fong Wai Lap for 10 & 3 years
SFC, 13-Feb-2012
SFC fines Mr Ian So Kwok Wai, ex-Phillip Commodities (HK) Ltd, for improper audit trail
SFC, 19-Dec-2011
SFC-licensed persons charged with IPO fraud
ICAC, 3-Oct-2011
Brokers suspended for conducting trades without client's proper authorization
SFC, 22-Aug-2011
SFC fines Chan Hon Man HK$134,580
SFC, 31-Aug-2010
SFC bans Mr Leung Yu Fung from re-entering the industry for life
SFC, 25-Jun-2009
SFC suspends Mr Chin Man Chung, ex-Phillip Securities, and fines him HK$71,500 for market manipulation
SFC, 20-Aug-2007
Public Statement on Mr Leung Wai Shing
SFC, 15-Sep-2005
SFC suspends Runter Yeung Hok Huen for 1 month for conducting unlicensed activities
SFC, 29-Mar-2005
SFC prosecutes Ms Wong Lai Sze for unaccredited dealing & Mr Ma Chun Wah and President Securities (HK) Ltd for aiding & abetting her
SFC, 18-Nov-2003
SFC bans Mr Do Yu Lun forever for attempted theft
SFC, 17-Oct-2003
SFC severely reprimands Phillip Securities (HK) Ltd for poor internal controls
SFC, 29-Apr-2003
SFC reprimands Mr Tsui To Kwong for breaching Code of Conduct and internal policies of employer
SFC, 20-Dec-2002
SFC suspends Mr Raymond Chan Shek Hong for 6 months for unregistered portfolio management and breaching Code of Conduct
SFC, 22-Nov-2002
SFC suspends Ms Ng Yin Hing, ex-Phillip Securities (HK) Ltd, for 2 years for abusing client accounts
SFC, 16-Apr-2002
SFC revokes registration of Mr Wesley Chiu Chi Man, ex-Phillip Securities (HK) Ltd, after conviction
SFC, 15-Jan-2002
SFC revokes registrations of Ms Lai Wai Fong for unauthorised trading in client accounts
SFC, 24-Jul-2001
SFC reprimands Ms Emily Fung Suk Fan of Phillip Securities (HK) Ltd
SFC, 19-Jul-2001
The employee involved was Ms Luk Chung Yan.
SFC reprimands Ms Chan Yin King and Mr Wong Siu Chuen of Phillip Securities (HK) Ltd
SFC, 26-Apr-2001
SFC prosecutes Ms Luk Chung Yan for unregistered dealing at Phillip Securities (HK) Ltd
SFC, 22-Nov-2000
SFC reprimands Ms Sindy Hung Man Hung
SFC, 26-Oct-2000
SFC reprimands Mr Li Kwok Keung of Phillip Securities (HK) Ltd for soliciting agents on the web
SFC, 30-Nov-1999

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