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SFC Bans Financial Planning Manager For Nine Months
The Securities and Futures Commission (SFC) has banned Mr Choi Siu Ki, a former financial planning manager of Dah Sing Bank Limited from re entering the industry for nine months from 7 January 2017 to 6 October 2017 for forging client signatures.
The SFC found that in August 2015, Choi forged a customer’s signatures on two insurance application documents in order to submit the documents in time before deadline.
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