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SFC suspends Ms Chan Ho Wai & Mr Lam Wai Kit, ROs of FT Securities, for 9 months | FT Securities research
SFC, 10-Dec-2018
This relates to 3 equity research reports issued between Jul-2012 and Apr-2013. We don't yet know for sure what the subject(s) of those reports were, as FT Securities is appealing against disciplinary action. However, we see only 3 research reports on the Financial Technicians web site and the dates match, of which 2 are on Neptune Group (now Rich Goldman, 0070) and 1 on Chinese Food & Beverage (8272).
Organisations
- Chinese Food and Beverage Group Limited 華人飲食集團有限公司
- FT Securities Limited 富通證券有限公司
- Incorporation of Financial Technicians Limited (The) 富通金融(控股)有限公司
- Rich Goldman Holdings Limited 金粵控股有限公司
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