The Securities and Futures Commission (SFC) has suspended Hadiee Chui Lai Chun for seven months due to multiple breaches of Rifa Securities Limited’s staff dealing policy. Between September 2018 and September 2021, Chui failed to disclose a personal trading account, conducted 20 trades without approval, and did not report these activities, undermining the firm’s internal controls. The SFC deemed her conduct willful and dishonest, questioning her fitness to remain licensed.
Resources: https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-announcements/news/doc?refNo=25PR91