Articles: Unlicensed investment advice
Mr Lo Chun Lam convicted of unlicensed futures contracts business
SFC, 17-Jun-2015
We note from the Webb-site Reports archives that this is his second conviction for a similar offence. The first was on 5-May-2011 when he was fined HK$1,500 for an advertisement promoting unlicensed advice on futures contracts. Still, the fine this time of $7,500 is only equivalent to two 3-month subscriptions to his service.
SFC, 17-Jun-2015
We note from the Webb-site Reports archives that this is his second conviction for a similar offence. The first was on 5-May-2011 when he was fined HK$1,500 for an advertisement promoting unlicensed advice on futures contracts. Still, the fine this time of $7,500 is only equivalent to two 3-month subscriptions to his service.
SFC Prosecutes Mr Ho To Yan under the Commodity Trading Ordinance and the Protection of Investors Ordinance
SFC, 26-Feb-2002
SFC, 26-Feb-2002
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy