SFC comes down heavily on people caught with fraudulent activities

28 September 2011 | 2 minutes read

The SFC has taken a deliberately aggressive stance against “people caught with unlicensed activities, negligence and non-compliance with recording and execution requirements related to securities business.” The regulator has banned a licensed representative of Fair Eagle Securities from re-entering the industry for life following an SFC investigation which found that between January 2009 and January 2011, Tang Siu Fong failed…

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