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SFC Bans Former BNP Paribas Trader for 18 months

The Securities and Futures Commission (SFC) has banned former trader of BNP Paribas Hong Kong, Ms Abbie Yip Ka Ying, from re-entering the industry for 18 months for breach of the Code of Conduct. In 2015, she had made multiple attempts to conceal a foreign exchange trade execution error that resulted losses.

” former trader of BNP Paribas Hong Kong Banned for 18 months “

Abbie had made multiple attempts to conceal in-house foreign exchange spot trade execution error made by her on 24 June 2015, and suffering a loss of US$58,000 from the erroneous trade. She had request a trader to split the losses over 2 days, making it harder to other staff to detect the loss. She had also manually re-book the loss in the wrong portfolio and also failing to include the losses in daily report and to report the incident. She had also misled her supervisor when questioned.

The SFC decision was made with all relevant circumstances, including Yip’s multiple attempts to conceal the incident, her more than 12 years of experience in the industry at the time of her misconduct, and her otherwise clean disciplinary record. The case was referred to the SFC following an investigation by the Hong Kong Monetary Authority (HKMA).



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Source: SFC




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