PHILLIP SECURITIES (HONG KONG) LIMITED 輝立証券(香港)有限公司
SFC issues restriction notices to 10 brokers to freeze client accounts linked to a suspected social media ramp-and-dump scam
| Gazette Notices
SFC, 25-Apr-2023
The subsequent Gazette notices reveal that the stock involved is Grand Talents (8516). We calculate that the total amount frozen across 10 brokers is HK$379m.
SFC, 25-Apr-2023
The subsequent Gazette notices reveal that the stock involved is Grand Talents (8516). We calculate that the total amount frozen across 10 brokers is HK$379m.
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, 12-Jul-2019
For discretionary trading a client's account without written authorisation.
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.
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 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, 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 revokes licence of Paco Ng Kar Lun and bans Adrian Fong Wai Lap for 10 & 3 years
SFC, 13-Feb-2012
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, 19-Dec-2011
SFC suspends Mr Chin Man Chung, ex-Phillip Securities, and fines him HK$71,500 for market manipulation
SFC, 20-Aug-2007
SFC, 20-Aug-2007
SFC suspends Runter Yeung Hok Huen for 1 month for conducting unlicensed activities
SFC, 29-Mar-2005
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, 18-Nov-2003
SFC reprimands Mr Tsui To Kwong for breaching Code of Conduct and internal policies of employer
SFC, 20-Dec-2002
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, 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, 16-Apr-2002
SFC revokes registration of Mr Wesley Chiu Chi Man, ex-Phillip Securities (HK) Ltd, after conviction
SFC, 15-Jan-2002
SFC, 15-Jan-2002
SFC revokes registrations of Ms Lai Wai Fong for unauthorised trading in client accounts
SFC, 24-Jul-2001
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, 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, 26-Apr-2001
SFC prosecutes Ms Luk Chung Yan for unregistered dealing at Phillip Securities (HK) Ltd
SFC, 22-Nov-2000
SFC, 22-Nov-2000
SFC reprimands Mr Li Kwok Keung of Phillip Securities (HK) Ltd for soliciting agents on the web
SFC, 30-Nov-1999
SFC, 30-Nov-1999
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