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Ex-KGI exec gets three-year Hong Kong ban

Joe Marsh
The executive in question had conducted trades for a client’s discretionary account without obtaining the latter's authorisation.
Ex-KGI exec gets three-year Hong Kong ban

Hong Kong’s securities regulator has banned Alice Yim Ping from the industry for three years after she conducted trades for a client without obtaining his authorisation while managing his securities account at KGI Asia on a non-discretionary basis. 

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