SOUTHWEST SECURITIES (HK) FUTURES LIMITED 西證(香港)期貨有限公司

SFC bans Cham Nga Yin, ex-Southwest Securities, for life
SFC, 9-Aug-2018
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 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 suspends Ms Chow Yin Shan for 8 months
SFC, 27-Jun-2007
SFC suspends Mr Bowie So Chi Kit for 6 months
SFC, 2-May-2007
SFC suspends Ms Leung Wing for 9 weeks
SFC, 27-Apr-2007
SFC bans Mr Sze Fan Hoi for 7 months
SFC, 26-Apr-2007
Ms Leung Wing v SFC
SFAT, 25-Apr-2007
SFC suspends Mr Calvin Ting Chun Hin for 2 months
SFC, 22-Mar-2007
SFC suspends Ms Ip Pui Lan of Tanrich Futures Ltd for 4 months
SFC, 22-Nov-2006
SFC bans Mr Leung Chin Pang for 6 months for cold calling and failing to give reasonable investment advice
SFC, 19-Jul-2006
SFC suspends Mr Keung Man Bun for 6 months
SFC, 6-Jun-2006
SFC bans Mr Chau Sik Ki for 4 months for cold calling
SFC, 26-Apr-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 bans Mr Wong Yu Kit for 6 months
SFC, 13-Mar-2006
SFC bans Mr Lam Wing Chit for 3 months
SFC, 1-Mar-2006
SFC prosecutes Mr Chau Sik Ki for cold calling
SFC, 24-Jan-2006
SFC bans Mr Chow Wai Ho for 3 months for cold calling
SFC, 11-Jan-2006
SFC prosecutes Ms Leung Wing for cold calling
SFC, 1-Dec-2005
SFC prosecutes Mr Lam Wing Chit for cold calling
SFC, 17-Nov-2005
SFC prosecutes Agnes Mak Wing Shun for cold calling
SFC, 10-Nov-2005
SFC prosecutes Mr Chow Wai Ho for cold calling
SFC, 29-Sep-2005
SFC suspends Mr Shiu Yau Wah for 4 months for cold calling
SFC, 15-Dec-2004
SFC suspends Mr Dickson Kam Chun Wah, for 3 months for account opening failings
SFC, 15-Dec-2004
SFC prosecutes Miss Mean Lam Suk Kuen and Mr Lau Chun Kwok for cold calling
SFC, 30-Sep-2004
Cold calling is illegal
SFC, 27-Sep-2004
SFC reprimands Tanrich Futures Ltd for internal control failures
SFC, 21-Apr-2004
SFC prosecutes Mr Shiu Yau Wah for cold calling
SFC, 21-Apr-2004
SFC reprimands Ms Elaine Lau Yim Ling for impropriety
SFC, 21-Apr-2004
Tanrich Futures Ltd v Stanley Lam Chi Bin
HK Court of First Instance, 13-Sep-2001
Pan Guoqiang prosecuted for misleading SFC in application to join Tanrich Futures Ltd
SFC, 12-Nov-1999

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