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SFC fines Ms Tang Wai Chun of China Merchants Securities HK$40k

SFC, 5-Dec-2013

She failed to voice record her client's instructions to buy a "substantial quantity" of shares in from China Lumena (0067). Presumably the SFC was investigating those trades in the first place.

Organisations

• China Lumena New Materials Corp. 中國旭光高新材料集團有限公司
• CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 招商證券(香港)有限公司

People

• Tang, Wai Chun (SFC:APC908) 鄧惠珍

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