SFC reprimands and fines Solomon Independent Financial Advisors Limited $1.5 million and suspends its responsible officer

17 October 2011 | 1 minute read

The Securities and Futures Commission (SFC) has reprimanded Solomon Independent Financial Advisors and fined it $1,500,000 for facilitating the unlicensed activities of employees of insurance broker Black Swan Capital International. The SFC has also suspended the approval granted to Connie Leung Wing Kam to act as a responsible officer for Solomon and suspended her license for seven months. The disciplinary…

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