HK SFC bans former BOCI Securities exec
The Hong Kong regulator has banned Fa Kwan-Lun for 12 months for failing to report securities trading he conducted through his mother-in-law's account and for mishandling clients' money.
Hong Kong’s securities regulator has banned Fa Kwan-Lun from re-entering the industry for 12 months for concealing his personal securities trading activity and mishandling clients’ money.
The Securities and Futures Commission (SFC) considered Fa not to be a fit and proper person because of his misconduct.
Li, a former BOCI Securities account executive, was found to have:
concealed from his employer his beneficial interest in, and his personal trading activities conducted th…
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