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bans

SFC - Hong Kong

SFC bans former financial planning manager

09/01/2017(0)
The Securities and Futures Commission (SFC) has prohibited Mr Choi Siu Ki, a former financial planning manager of Dah Sing Bank Limited, from re-entering the industry for nine months ... Read More
SFC-logo-office

SFC bans a former staff of HSBC for life

29/12/2016(0)
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 ... Read More
FCA-logo

FCA bans and fines individual for £233,600

01/12/2016(0)
FCA publishes decision notice against Alistair Burns deciding to ban him and fine him £233,600 The Financial Conduct Authority has today published a Decision Notice in respect of Alistair ... Read More
ASIC_regulator

ASIC bans insurance broker director

30/11/2016(0)
ASIC has permanently banned Christopher John Griggs from providing financial services. Mr Griggs was the sole director of Chris Griggs Insurance Offices Pty Ltd, an insurance broker based in ... Read More
SFC - Hong Kong

SFC bans individual for one year and fines him $150,000

21/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Benedict Ku Ka Tat, a former employee of The Pride Fund Management Limited, from re-entering the industry for one year ... Read More
SFC-logo-office

SFC bans Individual for 10 years

02/11/2016(0)
The Securities and Futures Commission (SFC) has prohibited Mr Lawrence Lai, a former representative of UOB Kay Hian (Hong Kong) Limited and UOB Kay Hian Futures (Hong Kong) Limited ... Read More
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