December 29, 2016 BY Valentina Kirilova
SFC bans a former staff of HSBC Broking for life
The Securities and Futures Commission (SFC) has banned Mr Lam Yuk Wai, a former staff of HSBC Broking Securities (Asia) Limited, HSBC Broking Futures (Asia) Limited, HSBC Broking Futures (Hong Kong) Limited and HSBC Broking Forex (Asia) Limited (collectively, HSBC Broking), from re-entering the industry for life. The disciplinary action follows an SFC investigation which…
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