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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
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