The Securities and Futures Commission (SFC) has prohibited Mr William Wong Yick Lok, a former employee of Hang Seng Bank Limited, from re-entering the industry for three years from 30 September 2016 to 29 September 2019 following his conviction for forgery.
The Court found that Wong, who was responsible for promoting insurance policy to customers of Hang Seng Bank at the material time, forged a customer’s signatures on an insurance application and a policy cancellation form without the customer’s knowledge.
The SFC considers that Wong is not a fit and proper person to be licensed or registered to carry on regulated activities as a result of his conviction.
The case was referred to the SFC by the Hong Kong Monetary Authority.
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