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HK SFC bans ex-Kaiser exec for 15 months

Joe Marsh
Li Tak-Wa received the penalty from Hong Kong's Securities and Futures Commission after executing unauthorised trades and recording incorrect client information.
HK SFC bans ex-Kaiser exec for 15 months

Hong Kong’s securities regulator has banned Li Tak-Wa from re-entering the industry for 15 months for executing trades without a client's written authorisation, among other things. The period runs from yesterday to 17 September 2015.

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