The Hong Kong Securities and Futures Commission (SFC) announced that has prohibited Mr Xu Tao, a former investment consultant of China International Capital Corporation Hong Kong Securities Limited (CICC), from re-entering the industry for four months from 11 October 2017 to 10 February 2018 (Xu was licensed under the Securities and Futures Ordinance to carry…
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The Hong Kong Securities and Futures Commission (SFC) has banned Mr Fok Chi Kin from re-entering the industry for eight months from 20 June 2017 to 19 February 2018. Fok was a vice president of JPMorgan Funds (Asia) Limited (JPFL) providing sales support before he tendered his resignation on 8 March 2016. He left JPFL…
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The Securities and Futures Commission (SFC) announced that has banned Mr Li Bo, a former employee of The Hongkong and Shanghai Banking Corporation Limited (HSBC), from re-entering the industry for eight months from 9 June 2017 to 8 February 2018 for breaching the SFC’s Code of Conduct. The disciplinary action follows an SFC investigation which…
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The Securities and Futures Commission (SFC) has prohibited Ms Bernie Wong Ching Man, a former employee of Citibank (Hong Kong) Limited, from re-entering the industry for four months from 19 May 2017 to 18 September 2017 for forging a client’s signature. The SFC found that in July 2015, Wong forged a customer’s signature on a…
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The Securities and Futures Commission (SFC) has banned Mr Daniel Chen Chi Lik, a former staff of Bank of China (Hong Kong) Limited (BOCHK), from re-entering the industry for life following his conviction for theft by the Eastern Magistrates’ Court in October 2016. The court found that Chen, who was then a bank manager at…
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The Securities and Futures Commission (SFC) has banned Mr Philip Leung Ming Yin, a former account executive of HSBC Broking Securities (Asia) Limited (HSBC Securities), from re-entering the industry for six months from 17 March 2017 to 16 September 2017. The SFC found that Leung used his mobile phone and messaging application WeChat to receive…
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The Securities and Futures Commission (SFC) has banned Mr Ma Yu Lung, a former representative of Sun Hung Kai Investment Services Limited (SHKIS), from re-entering the industry for eight years from 26 January 2017 to 25 January 2025 for breach of the Code of Conduct. The SFC’s investigation found that on numerous occasions between September…
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