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Chan, Yiu Ting 陳耀庭 - Public Disciplinary Actions | HK SFC Licensed Personnel (ID 92959)

Chan, Yiu Ting 陳耀庭

SFC ID:ACJ836

Key Data SFC Licenses Public Disciplinary Actions

Public Disciplinary Actions

SFC bans Mr Chan Yiu Ting, ex-China Tonghai Securities, for 18 months

SFC, 12-Aug-2020

For discretionary dealing for 7 years without the client's written authorization. It apparently took the broker that long to notice.

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