Ex-Phillip Securities executive gets Hong Kong banJoe MarshJul 31, 2016Wong Lap-Yin made unauthorised trades on a client’s account to raise the prices of shares. He has received a three-year ban.
Broker-dealer banned over false wife recordingLeigh PowellApr 29, 2013Hong Kong’s SFC seeks to send a deterrent message to the market by banning a broker-dealer for three years for pretending his wife is a client on a short-selling order.