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SFC fines Mr Wu Hon Cheung HK$50k
SFC, 9-Jan-2018
Mr Wu failed to record voice instructions on a recorder, and failed to record order details in a manual trade blotter. He has since moved on from Sun Hung Kai Securities to China Industrial Securities.
Organisations
- CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED 興證國際證券有限公司
- Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司
- SUN HUNG KAI & CO. LIMITED 新鴻基有限公司
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