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SFC bans ex-BEA RM for eight months

The disciplinary action came after the Securities and Futures Commission (SFC) found that the relationship manager (RM) failed to notify the authority, as well as her ex-employer, the Bank of East Asia (BEA), of a former criminal conviction. Liu Hsiang-wen was convicted in Taiwan in 2010 for promoting and selling offshore funds to Taiwan investors without regulatory approval. She then failed…

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