| Journal Call no. | HG6024.H6S42 |
|---|---|
| Article Title | SFC prosecutes Connaught Financial Planning Limited. |
| Is Part Of | SFC bulletin ; no.14, Jul/Aug 1995, p.6. |
| Abstract | In a separate Court action at Western Magistracy, Connaught Financial Planning Limited ("CFP") pleaded guilty to one summons in relation to the failure of CFP, as a licensed investment adviser, to have a director licensed with the Commission as an investment adviser from 5 November 1993 to 16 March 1995. |