SFC commences criminal proceeding against an independent advisory firm for promoting an equity fund without authorisation

7 September 2012 | 1 minute read

The Securities and Futures Commission (SFC) has commenced criminal proceedings against Pacific Sun Advisors, a SFC licensed corporation, and its director Andrew Pieter Mantel in relation to four counts of issuing advertisements to promote an investment scheme without the authorisation of the SFC. The regulator alleges that between November and December 2011, the defendants issued an advertisement on the corporate…

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