SFC fines Ms Conita Hung Lai Ping HK$150k for managerial and supervisory failures
SFC, 19-Aug-2014
She is now a Responsible Officer of Amicus Asset Management Ltd.

• Orgs
  • Amber Hill Asset Management Limited
• People
  • Hung, Conita Lai Ping 熊麗萍

SFC fines Delta Asia Securities Ltd HK$4m
SFC, 4-Jun-2014
...for using securities belonging to some clients to settle sales by other clients.

SFC prosecutes Delta Asia Securities Ltd for issuing IPO application forms without a prospectus
SFC, 3-Feb-2005

• Orgs
  • CHINA ORIENTAL GROUP COMPANY LIMITED