ASIC permanently bans GAIN Capital employee from providing financial services LeapRate

June 06, 2017 BY Valentina Kirilova

ASIC permanently bans GAIN Capital employee from providing financial services

ASIC announced earlier today that has permanently banned Mr Shun Yuen Ken Li (also known as Leo Lee) from providing financial services. Mr Li was banned after pleading guilty and being convicted of two counts of dishonestly using his position as an employee of GAIN Capital Australia Pty Ltd with the intention of gaining an…

Gain Capital Australia employee faces up to 5 year sentence for manipulating CFD trades

Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre Local Court on two charges of dishonestly using his position as an employee. Mr Li, 37, is accused of using his position as an employee of the Australia…

Tag: GAIN Capital Australia Pty Ltd

ASIC permanently bans GAIN Capital employee from providing financial services

Gain Capital Australia employee faces up to 5 year sentence for manipulating CFD trades

When Do U.S. Election Polls Close?

Morgan Stanley Fined $1m By FINRA for Market Access Control Failures

INFINOX Appoints Daniel Skowronski as Group Executive Director

HKEX to Digitise ETP Servicing

Broadridge Completes Kyndryl SIS Takeover