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SFC bans Song Baojun for 1 year
SFC, 6-Nov-2019
He effected 4 unit trust trades in 2013 without a client's specific authorisation using incomplete pre-signed forms. We note that in 2014 he went on from HSBC to Dah Sing Bank for 9 months, and was later registered to Hang Seng Bank (an HSBC subsidiary) for just 10 days starting on Christmas Day 2015.
Organisations
- DAH SING BANK, LIMITED 大新銀行有限公司
- HANG SENG BANK, LIMITED 恒生銀行有限公司
- HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
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