| Journal Call no. | HG6024.H6S42 |
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| Article Title | SFC prosecutes and publicly reprimands Thomson Haywood International Financial Planners Limited and one of its directors, Mr. Shum Si Ki. |
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| Is Part Of | SFC bulletin ; no.14, Jul/Aug 1995, p.5. |
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| Abstract | The Securities and Futures Commission ("SFC") announced that it has concluded an investigation of Thomson Haywood International Financial Planners Limited ("Thomson Haywood"), a registered investment adviser. The investigation covered the period 1 October 1992 to 28 February 1994 and concerned the conduct which involved infringements of the Protection of Investors Ordinance ("PIO"). |
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