證監會禁止古家達重投業界一年並處以罰款150,000元
We note that last year, the SFC fined The Pride Fund Management Ltd (controlled by Louis Wan Mun Wah) HK$400k for failure to enter mediation at the Financial Dispute Resolution Centre with the client, Ms Ha Sze Wan. Our records show that the BVI company to which she paid the 15% commission (of which Mr Ku received 12%), Lizauli Investments Ltd, was struck off on 31-May-2010. We don't know who owned that, and the SFC calls him or her "X". 我們想起去年,證監會檢控傲揚投資管理有限公司(由尹清華控制),並因為於金融糾紛調解中心調解和客戶夏詩韻調解失敗,故罰款40萬。我們的紀錄指出境外公司Lizauli Investments Limited支付15%佣金(其中古先生取得12%)已經在2010年5月31日註銷。我們不知誰控制公司,同時證監會已給他一個「交叉」。

會員: greatsoup 於2016-11-27 16:56:49 發表
原文網址: http://www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/doc?refNo=16PR122 上一篇 下一篇

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