Home Financial Center Hong Kong SFC Bans Financial Planning Manager For Nine Months

SFC Bans Financial Planning Manager For Nine Months

67
0
News in Brief - Caproasia Online


Join more than 4,000 ++ leading financial professionals in Asia. Sign up here. Are you a Private Banker? Sign up here.

For financial professionals managing assets or advising client , sign up here. Gain advantage today as a Caproasia user. For existing Caproasia user, contact your regional representative.


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.

News Source: SFC Press Release

 





Join more than 4,000 ++ leading financial professionals in Asia. Sign up here. Are you a Private Banker? Sign up here.

For financial professionals managing assets or advising client , sign up here. Gain advantage today as a Caproasia user. For existing Caproasia user, contact your regional representative.