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.

• Orgs
  • DAH SING BANK, LIMITED
  • HANG SENG BANK, LIMITED
  • HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)