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Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities
The Eastern Magistrates’ Court in Hong Kong has convicted an individual of dealing in securities without a license. The individual, Chan Chi Kit is fined HK$8,000 and will also pay the investigation cost by the Securities and Futures Commission (SFC).
“ Hong Kong’s court fines individual HK$8,000 for dealing in securities without a license “
Between April 2013 to October 2013, Chi Kit had under the business name of Prime Ocean Holdings Limited and by himself, referred clients to TYG Capital Management to subscribe for TYG Capital Fund in return for commission. Neither Prime Ocean nor himself were licensed by the SFC to conduct the regulated activities.
Advisors and investors can check the SFC’s Public Register of Licensed Persons and Registered Institutions on the SFC’s website (www.sfc.hk) to ensure the parties that they deal with are properly licensed.
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