| 1. | 3 . wing lung futures limited holds a licence under the sfo to carry on business in type 2 dealing in futures contracts regulated activity
3 .永隆期货有限公司根据证券及期货条例获发牌从事第2类期货合约交易受规管活动的业务。 |
| 2. | The sfc has successfully prosecuted mr ho po hung for dealing in futures contracts whilst unlicensed , and mr chow lai him and wing lung futures limited for aiding and abetting ho
证监会成功检控何保雄男，指其无牌而进行期货合约交易，并成功检控周礼谦男及永隆期货有限公司，指其协助及教唆何。 |
| 3. | During an sfc routine inspection at wing lung futures in june 2004 , the sfc became aware of certain practices that had been adopted by wing lung futures staff in respect of dealing in futures contracts at the san po kong branch of wing lung bank limited
证监会于2004年6月对永隆期货进行例行视察期间，注意到永隆期货职员就永隆银行有限公司的新蒲岗分行采纳的有关期货合约交易的若干作业方式。 |
| 4. | 2 . mr chow was a representative accredited to wing lung securities limited and wing lung futures limited , licensed and approved as a responsible officer to carry on type 1 dealing in securities and type 2 dealing in futures contracts regulated activities
2 .周曾经是隶属于永隆证券有限公司及永隆期货有限公司的代表，及曾获发牌及核准为进行第1类证券交易及第2类期货合约交易受规管活动的负责人员。 |
| 5. | 4 . mr tam is a representative accredited to wing lung securities limited and wing lung futures limited , licensed and approved as a responsible officer to carry on type 1 dealing in securities and type 2 dealing in futures contracts regulated activities respectively
4 .谈现时是隶属于永隆证券有限公司及永隆期货有限公司的代表，并获发牌及核准为进行第1类证券交易及第2类期货合约交易受规管活动的负责人员。 |
| 6. | He did not take sufficient steps to monitor and supervise chow to ensure that there was no unlicensed dealing in futures contracts and that chow had documented all procedures including the arrangement in the relevant procedure manual , thereby breaching the code of conduct
他没有采取充分步骤以监控及监督周，以确保并无进行无牌期货合约交易，以及确保周已以书面方式把该安排在内的所有程序记录于有关的程序手册内，因而违反操守准则。 |
| 7. | An sfc investigation subsequently revealed that , between april 2003 and may 2004 , ho was an assistant manager supervising the san po kong sub - section of the securities department of wing lung bank . he and his two subordinates were not licensed by the sfc for dealing in futures contracts
证监会的调查其后发现，在2003年4月至2004年5月期间，何是监督永隆银行证券部新蒲岗分组的助理经理，他与两名下属并无获证监会发牌进行期货合约交易。 |
