The Hong Kong Securities regulator - The Securities and Futures Commission (SFC) has suspended the licence of a former licensed representative of Mason Securities Limited (MSL), previously known as GuocoCapital Limited, for misconduct, for 12 months from 28 October 2020 for failing to obtain approval to maintain a securities trading account with an external brokerage, and trading on that account without permission, approval and therefore breaching Mason Securities Personal Account Dealing policy. You can read more on that here.
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