In this article
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.
Organisations
- ABCI Securities Company Limited 農銀國際證券有限公司
- BEAR STEARNS ASIA LIMITED 貝爾斯登亞洲有限公司
- BEAR STEARNS HONG KONG LIMITED 貝爾斯登香港有限公司
- CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
- RHB FUTURES HONG KONG LIMITED 興業金融期貨有限公司
- RHB SECURITIES HONG KONG LIMITED 興業金融證券有限公司
People
Sign up for our free newsletter
Recommend Webb-site to a friend
Copyright & disclaimer, Privacy policy