| Journal Call no. | HG6024.H6S42 |
|---|---|
| Article Title | SFC revokes registrations of dealer's representative. |
| Is Part Of | SFC bulletin ; no.18, Mar/Apr 1996, p.16. |
| Abstract | On 12 April 1996, the Securities and Futures Commission ("the SFC") announced that it had, under section 56 of the Securities Ordiance, revoked the registrations of Au Kit Hong as a dealer's representative and an investment representative. This action resulted from an inquiry initiated by the SFC which concluded that Au has been guilty of misconduct and that his fitness and properness to remain registered has been seriously impugned for having misappropriated client funds. |