T G HOLBORN (HK) LIMITED 浩邦(香港)有限公司

Universal Insurance Consultants & Brokers Ltd & Ms Au Mei Chun acquitted
SFC, 3-Jan-2013
Insurance agents Lau Chun Yin & Chau Chi Ho convicted of selling investment fund without licences
SFC, 17-Aug-2012
Miss Jovin Chim Chai Shan v SFC
SFAT, 31-Mar-2006
SFAT upholds SFC decision to suspend Ms Jovin Chim Chai Shan for 4 months for dishonestly signing internal documents
SFC, 29-Mar-2006
SFC reprimands Mr Gary Yau Shu Cheung for improper conduct in handling internal documents
SFC, 1-Feb-2006
Mr Yau makes "voluntary payment" of HK$146k to SFC instead of 1 month off.
SFC prosecutes Ms Wong Lee Chun for unlicensed investment advising & Mr Benjamin Li Ping Hei for aiding & abetting unauthorised advertising
SFC, 10-Nov-2004
Unregistered staff at TG Holborn fined
South China Morning Post, 5-Dec-2003
SFC prosecutes Mr Theodore Moy Kwok Chiu for acting as an investment representative whilst unregistered
SFC, 4-Dec-2003
SFC prosecutes Mr Thomas Chan Pui Sing for acting as investment representative of T G Holborn (HK) Ltd whilst unregistered
SFC, 16-Sep-2003
SFC prosecutes Mr Wong Wai Kuen for acting as investment representative of T G Holborn (HK) Ltd whilst unregistered
SFC, 9-Sep-2003

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