Tagged SFC

The Hong Kong Securities and Futures Commission (SFC) has banned Masy Lo Mee Chi, a former client advisor of UBS AG Hong Kong Branch (UBS), for eight months, citing an incident of breaching client trust. The...

Hong Kong’s financial watchdog, the Securities and Futures Commission (SFC), has banned a former account executive of China Tonghai Securities Limited (CTSL) from re-entering the industry for 18 months after ...