HK SFC bans one exec, suspends another
The regulator has banned a Global Credit Securities employee following her conviction on criminal charges and suspended a former China Merchants Securities worker for misconduct.
Hong’s Kong’s securities regulator has banned Global Credit Securities employee Yip Wan-Fung from re-entering the financial industry for life and suspended Wu Li-Jun, formerly of China Merchants Securities, for six months for failing to properly safeguard her clients’ assets.
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