Page 50 - 期货和衍生品行业监管动态（2024年2月）

期货和衍生品行业监管动态

transaction conducted as a reward for his staff who assisted with the operation of the

trading programme. Lam subsequently paid the CEO between $60,000 and

$70,000. Wong also gave a mobile phone and cosmetic products worth $12,500 to

the CEO in December 2014 at his request, out of a desire to maintain a good

relationship with him.

Neither Lam nor Wong had checked whether the above practices were known or

acceptable to HKFECL before they made the payments or gifts to the CEO.

In deciding the sanctions, the SFC considers that Lam and Wong are not fit and

proper persons to be licensed to carry on regulated activities due to their criminal

convictions.

Notes:

1. Lam was licensed to carry on Type 1 (dealing in securities), Type 2 (dealing

in futures contracts), Type 3 (leveraged foreign exchange trading) and Type 9

(asset management) regulated activities under the Securities and Futures

Ordinance (SFO) and was accredited to Nerico Brothers Limited from 29

August 2008 to 5 August 2021. Lam is not currently licensed by the SFC.

2. Wong was licensed to carry on Type 1 (dealing in securities), Type 2 (dealing

in futures contracts) and Type 9 (asset management) regulated activities under

the SFO and accredited to Nerico Brothers Limited from 7 November 2011 to

5 August 2021. Wong is not currently licensed by the SFC.

3. On 29 August 2022, the District Court convicted Lam of one count of offering

an advantage to an agent, contrary to sections 9(2) and 12(1) of the

Prevention of Bribery Ordinance and convicted Wong of two counts of the

same charge. On 8 September 2022, Lam was sentenced to 12 months’

imprisonment, suspended for two years, and Wong was sentenced to nine

months’ imprisonment, also suspended for two years.

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