Tsui, Roger Chi Fung 徐志豐
Former licensee convicted of providing SFC false or misleading information
| FINRA settlement
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
SFC, 15-Jan-2014
As the FINRA record shows, Roger Tsui Chi Fung worked for Bear Stearns in 2006 when he sat the NASD Series 7 exam in HK. Despite being caught in a toilet break with 5 pages of cheat-sheets, he failed the exam with a score of 62%. During 2009 when the false statements to the SFC were made, he worked for RHB OSK and CAF Securities (now ABCI Securities), and in 2010-11 for CITIC Securities.
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