South China Financial Holdings Limited 南華金融控股有限公司

SFC fines South China Commodities Ltd HK$4.8m for regulatory breaches | Statement of Disciplinary Action
SFC, 14-Feb-2022
The firm is 100% owned by South China Financial (0619).
The paid advert opposing the blackout rule
With links to the signatories in Webb-site Who's Who. (29-Dec-2008)
SFC fines two former South China Capital employees in relation to a listing sponsorship
SFC, 3-Dec-2008
Eric Chan Shun Kuen v SFC
SFAT, 28-Nov-2008
Robin Jonathan Gibbs Fox v SFC
SFAT, 28-Nov-2008
SFC reaches s201 SFO Agreement with South China Capital Ltd and South China Research Ltd
SFC, 19-Dec-2007
SFC fines South China Securities Ltd HK$500k
SFC, 19-Dec-2007
SFC fines Richard Howard Gorges HK$250k, suspends type 6 licence
SFC, 19-Dec-2007
SFC fines Mr Allan Wong Ding Pong & Ms Jabriel Yau Man Yuk of South China Securities Ltd
SFC, 13-Aug-2007
SFC fines Anthony Teoh Tean Chai HK$105k over research conflict of interests
SFC, 7-May-2007
SFC reprimands and fines Patrick Pong Kwok Hung over research conflict of interests
SFC, 7-May-2007
SFC suspends Mr Lo Chiu Wai for 9 months for conflicts of interest and unsound advice
SFC, 29-Mar-2005
SFC reprimands Mr Tam Chi Shing for breaching Code of Conduct
SFC, 22-May-2003
SFC reprimands South China Securities Ltd
SFC, 22-Nov-2002
SFC suspends registrations of Mr Tam Yui Man for 2 months
SFC, 14-Mar-2002
SFC prosecutes Mr Wong Lai Ho for unregistered dealing at South China Securities Ltd
SFC, 17-Oct-2001
SFC prosecutes Mr Tam Yui Man for aiding & abetting unregistered dealing
SFC, 5-Oct-2001
SFC prosecutes Mr Yu Chi Sing for unregistered dealing at South China Securities Ltd
SFC, 27-Sep-2001
SFC prosecutes Mr Kwok Wai Leung for unregistered dealing at South China Securities Ltd
SFC, 25-Sep-2001
SFC prosecutes Ms Lam Yik Mang & Mr Lai Tik Kei for unregistered dealing
SFC, 3-Jul-2001

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