For discretionary dealing in 2 clients' accounts for 7 years without written authorisation.
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SFC bans Ma Yu Lung, ex-SHK & Co, for 8 years
SFC, 26-Jan-2017
In a devious scheme, Mr Ma got two account holders to place orders that were really coming from third parties, whose names Mr Ma says he cannot recall. Reading between the lines, the SFC was probably investigating suspected market manipulation. The events in question took place almost 7 years ago, but he was licensed to SHK until June 2013.
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SFC bans Esther Lee Ying Chih for three years
SFC, 09-Aug-2012
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SFC suspends Ms Angel Wong Yuen Sze for unlicensed dealing and Ms Julie Lo Po Wah for aiding and abetting her