A former Goldman Sachs client adviser has been banned from re-entering the Hong Kong securities industry for two years after she admitted making unauthorised trades on behalf of a client, the market regulator said yesterday.
Ronnie Wong, who left Goldman last year, bought so-called accumulators for a client without approval in November 2007, said the Securities and Futures Commission. The transaction had a total exposure of HK$13.8m ($1.8m), said the regulator.
In December, Ms Wong prepared a spreadsheet for the client that “did not present a true picture of the client's portfolio”, said the regulator.
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