香港证监会终身禁止新鸿基实体前持牌代表刘家豪重投业界

Core Viewpoint - The Hong Kong Securities and Futures Commission (SFC) has permanently banned Liu Ka Ho, a former licensed representative of New Horizon Investment Services Limited and its associated entities, due to serious misconduct involving unauthorized trading and fraudulent activities [1] Group 1: Misconduct Details - Liu engaged in unauthorized trading in a client's securities account between September 2014 and May 2019, conducting online transactions without the client's knowledge or consent [1] - He sent forged trading instructions from the client's email account to his company's email, falsely claiming these instructions were from the client [1] - Liu provided the client with counterfeit account statements and summaries that significantly exaggerated cash balances and portfolio values [1] Group 2: Specific Fraudulent Activities - Liu misrepresented that the client could earn a 3.94% annual interest rate through a fictitious HKD 59 million three-month fixed deposit, claiming he had made this arrangement on behalf of the client [1] - He issued forged deposit certificates to support this fabricated arrangement, preventing the client from withdrawing cash from their account [1] Group 3: Regulatory Findings - The SFC concluded that Liu's misconduct demonstrated a clear lack of integrity and a consistent pattern of deliberate deception [1] - His dishonest actions severely violated the Code of Conduct, raising questions about his suitability as a licensed individual [1]