HK SFC fines IFA, suspends responsible officer
Hong Kong’s securities regulator continues to follow a tough line with rule-breakers by penalising Solomon Independent Financial Advisors.
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded Solomon Independent Financial Advisors and fined it HK$1.5 million ($192,818) for facilitating the unlicensed activities of employees at insurance broker Black Swan Capital International.
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