The SFC found that the failures committed by CCBIC and BIAL, as the sole sponsor in the listing applications of…
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Hong Kong SFC bans a former account executive of DBS Vickers
The Hong Kong Securities and Futures Commission (SFC) announced today that it has banned Mr Samuel Lee Kwok Tung from…
Read MoreSFC bans a former employee of Bank of China for life
The Hong Kong Securities and Futures Commission (SFC) has announced that it has banned Ms Lok Wai Fong, a former…
Read MoreSFC bans a former relationship manager of HSBC for 12 months
The Hong Kong Securities and Futures Commission (SFC) has informed the public that it has banned Mr Ngo Wing Chun,…
Read MoreSFC bans a former licensed representative of Southwest Securities Futures Ltd
The Hong Kong Securities and Futures Commission (SFC) has just announced that it has banned Ms Cham Nga Yin from…
Read MoreHong Kong SFC bans individual for 30 months
The Securities and Futures Commission (SFC) announced that it has banned Mr Poon Chun Hing from re-entering the industry for…
Read MoreSFC bans former RO of Standard Chartered Securities (Hong Kong) Limited
The Hong Kong Securities and Futures Commission (SFC) announced that it has banned Mr Joseph Hsu Kar Hing, a former…
Read MoreHong Kong SFC bans a former account executive of Get Nice Securities Limited
The Securities and Futures Commission (SFC) has banned Mr Ng Chau, a former account executive of Get Nice Securities Limited…
Read MoreHong Kong SFC fines a former account executive of Fulbright Securities Ltd and bans him for life
The Securities and Futures Commission (SFC) has banned Mr Danny Fung Kwong Shing, a former account executive of Fulbright Securities…
Read MoreSFC bans former relationship manager of Citibank (Hong Kong) Limited
The Hong Kong Securities and Futures Commission (SFC) has banned Mr Yeung Leung Yuen, a former relationship manager of Citibank…
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