June 12, 2018 BY Valentina Kirilova
Hong Kong SFC fines individual $80,000
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded Mr Lau Ki Fung, a former account executive of KGI Asia Limited (KGI), and fined him $80,000 for failing to keep proper records of order instructions from clients. The SFC found that between 29 July 2015 and 10 August 2015, Lau received…
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