SFC bans BOCI Securities RM for overcharging clients

20 March 2020 | 1 minute read

The Hong Kong Securities and Futures Commission (SFC) has banned a former relationship manager of Bank of China International Securities Limited (BOCIS) for 14 months, it announced yesterday. SFC has found that in the course of executing nine bond transactions for two clients, Chan Tan Lo “failed to disclose and/or provided inaccurate information … about the final execution prices and/or…

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