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HK SFC fines IFA, suspends responsible officer

Joe Marsh
Hong Kong’s securities regulator continues to follow a tough line with rule-breakers by penalising Solomon Independent Financial Advisors.
HK SFC fines IFA, suspends responsible officer

Hong Kong’s Securities and Futures Commission (SFC) has reprimanded Solomon Independent Financial Advisors and fined it HK$1.5 million ($192,818) for facilitating the unlicensed activities of employees at insurance broker Black Swan Capital International.

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