SFC suspends Mr Shiu Yau Wah of RHB Securities for 5 months
SFC, 29-Jan-2020
For discretionary trading in a client account without written authorisation. We note that in 2004 he was suspended for 4 months for cold calling. He was also prosecuted and fined HK$5k for that.

• Orgs
  • RHB SECURITIES HONG KONG LIMITED

SFC suspends Mr Shiu Yau Wah for 4 months for cold calling
SFC, 15-Dec-2004

• Orgs
  • SOUTHWEST SECURITIES (HK) FUTURES LIMITED
  • Southwest Securities International Securities Limited

SFC prosecutes Mr Shiu Yau Wah for cold calling
SFC, 21-Apr-2004

• Orgs
  • SOUTHWEST SECURITIES (HK) FUTURES LIMITED
  • Southwest Securities International Securities Limited