Hong Kong trader banned for six months
The disciplinary action for Wong Sze-Yiu came as a result of failures in relation to managing a client’s discretionary account.
Hong Kong’s securities regulator has banned a former account executive of investment banking and advisory firm Core Pacific-Yamaichi International (HK) (CPYI) from the industry for six months from yesterday (October 26).
Wong Sze-Yiu will not be permitted to work in financial services in Hong Kong until April 25, 2016, as a result of failures in relation to managing a client’s account on a discretionary basis.
From around February or March 2012 until September 2014, Wong conduct…
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