Broker banned for life for misappropriation of client assets

By | 9 May 2012 | 1 minute read

The Securities and Futures Commission (SFC) has banned Wong Chiu Wan, a former licensed representative of KGI Asia (a pan-Asian financial services group), from re-entering the industry for life. The disciplinary action follows an SFC investigation which found that, between April and June 2011, Wan conducted unauthorized trades in a client’s securities account at KGI and sold the client’s shares…

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