SFC bans Bernie Wong Ching Man for four months

22 May 2017



The Securities and Futures Commission (SFC) has prohibited Ms Bernie Wong Ching Man, a former employee of Citibank (Hong Kong) Limited, from re-entering the industry for four months from 19 May 2017 to 18 September 2017 for forging a client’s signature (Note 1).

The SFC found that in July 2015, Wong forged a customer’s signature on a credit card application form after she had agreed to have the credit card ready for collection by the customer on a specific date, but found that the customer had not signed on the form. Wong did not receive any personal benefit or pecuniary advantage from the forgery (Note 2).

The SFC considers that Wong is not a fit and proper person to be licensed or registered to carry on regulated activities. 

The case was referred to the SFC following an investigation by the Hong Kong Monetary Authority. 

End

Notes:

  1. Wong was a relevant individual engaged by Citibank (Hong Kong) Limited (Bank) to carry on Type 1 (dealing in securities) and Type 4 (advising on securities) regulated activities under the Securities and Futures Ordinance between 19 June 2014 and 15 July 2015. Wong is currently neither registered with the Hong Kong Monetary Authority nor licensed by the SFC.
  2. The Bank did not report the incident to the police since there was no loss suffered by the customer or the Bank.

A copy of the Statement of Disciplinary Action is available on the SFC’s website



Page last updated : 22 May 2017