In this article

SFC bans Mr Ng Hongs, ex-China Merchants Securities, for 10 months

SFC, 14-Mar-2016

The amazing thing is that the SFC still allows brokers to act as asset managers by operating client accounts on a discretionary basis, without requiring them to hold a type 9 (asset management) license.

Organisations

• CHINA MERCHANTS FUTURES (HK) CO., LIMITED 招商期貨(香港)有限公司
• CHINA MERCHANTS SECURITIES (HK) CO., LIMITED 招商證券(香港)有限公司

People

• Ng, Hongs 伍匡時

---

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top

---