Hong Kong SFC Bans Investment Consultant for Code of Conduct

On 11 October, the SFC banned Xu Tao for four months for code of conduct.

  • Mr Xu Tao, a former investment consultant of China International Capital Corporation Hong Kong Securities Limited (CICC), banned for four months from 11 October 2017 to 10 February 201
  • Xu used his mobile phone and WeChat messaging application to accept order instructions from 13 clients between February and August 2015