SOUTHWEST SECURITIES (HK) FUTURES LIMITED 西證(香港)期貨有限公司
SFC reprimands and fines Tanrich Futures Ltd, bans Mr Yip Man Fan for 9 months
SFC, 2-Jun-2009
Yes, but he's still the Chairman and controlling shareholder of the brokerage's listed owner, Tanrich Financial Holdings Ltd.
SFC, 2-Jun-2009
Yes, but he's still the Chairman and controlling shareholder of the brokerage's listed owner, Tanrich Financial Holdings Ltd.
SFC prohibits Ben Chan Ka Cheuk from re-entering industry for 4 months for cold calling
SFC, 3-Nov-2008
Comment: this is the 15th employee of Tanrich to be disciplined since 2004. Surely at some point the SFC should revoke the firm's license?
SFC, 3-Nov-2008
Comment: this is the 15th employee of Tanrich to be disciplined since 2004. Surely at some point the SFC should revoke the firm's license?
SFC bans Mr Leung Chin Pang for 6 months for cold calling and failing to give reasonable investment advice
SFC, 19-Jul-2006
SFC, 19-Jul-2006
SFC suspends Agnes Mak Wing Shun for 4 months for failures to comply with SFO and to give reasonable investment advice
SFC, 31-Mar-2006
SFC, 31-Mar-2006
Pan Guoqiang prosecuted for misleading SFC in application to join Tanrich Futures Ltd
SFC, 12-Nov-1999
SFC, 12-Nov-1999
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