SFC suspends Mr Shiu Yau Wah of RHB Securities for 5 months
SFC, 29-Jan-2020
For discretionary trading in a client account without written authorisation. We note that in 2004 he was suspended for 4 months for cold calling. He was also prosecuted and fined HK$5k for that.
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SFC suspends Mr Shiu Yau Wah for 4 months for cold calling