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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
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