HSBC BROKING SECURITIES (ASIA) LIMITED 滙豐金融證券(亞洲)有限公司

SFC fines HSBC HK$9.6m for regulatory breaches over bond sales
SFC, 19-Jul-2018
SFC bans Philip Leung Ming Yin, ex-HSBC, for 6 months
SFC, 20-Mar-2017
SFC bans Lam Yuk Wai, ex-HSBC, for life
SFC, 29-Dec-2016
His unauthorised trading and deception over 4 years cost HSBC HK$70m in compensation to 7 clients. HSBC has reported him to the police.
Hung Ching Wan v Kris Cheung Kwok Chiu
HK Court of First Instance, 9-Jun-2004
SFC reprimands Cheung Yuk Sheung & Kwan Wing On for breaching the Code of Conduct and the internal rules of employers
SFC, 17-Sep-2002

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