The SFC has prohibited five brokers to deal with or process certain assets held in 12 trading accounts related to suspected market manipulation.
SFC Hong Kong
Hong Kong’s SFC suspends the license of Sandra Cheung Wing Yi, a former representative of Mason Securities Limited.
The SFC considers that Lo’s conduct was dishonest and calls into question her fitness and properness to be a licensed or registered person.
TS’O Jing pocketed the additional sum from the customers and fabricated receipts to acknowledge payments from them on five occasions.