Owing to the constraints of the Articles of Association, this record is not able to provide full disciplinary record of registrants before 21 November 2013.
因章則所限,本名冊未能提供於2013年11月21日前有關註冊人士的的紀律行動的所有記錄。
Date
日期
(DD/MM/YYYY)
Registration Number
註冊號碼
Name of Registrant
註冊人士名稱
Case Narrative
個案描述
(In English Only)
13/09/2019 - 13/09/2019 015105
CHAN Wai Man
陳瑋雯
The Technical Representative failed to comply with the CPD requirement in the year of 2018, which was in breach of Membership Regulation 10.1.7. She was fined at HK$2,500.
06/09/2019 - 06/09/2019 016495
YE Weikang
叶偉康
The Technical Representative failed to comply with the CPD requirement in the year of 2018, which was in breach of Membership Regulation 10.1.7. He was fined at HK$2,500.
05/09/2019 - 05/09/2019 001858
DAVIES Simon Huw
he Technical Representative had in the course of advising and arranging the funds selection failed to conduct proper due diligence of the relevant funds nor did he look after his client’s interests above all other considerations and therefore was in breach of Principle (b) of the CIB Code of Conduct. He was considered not a fit and proper person. He was ordered to be prohibited from being a director or shareholder of, or associated in any manner with, or being registered as a Chief Executive or Technical Representative in respect of any Member of the CIB for a period of 18 months.
21/08/2019 - 21/08/2019 003472
LEE Hoi Yan
李凱欣
The Chief Executive failed to comply with the CPD requirement in the year of 2018, which was in breach of Membership Regulation 9.1.9 She was fined at HK$1,000.
19/08/2019 - 19/08/2019 013771
LAU Hiu Ping
劉曉萍
The Technical Representative failed to comply with the CPD requirement in the year of 2018, which was in breach of Membership Regulation 10.1.7. She was fined at HK$500.
17/07/2019 - 17/07/2019 014951
NG Wing Fan Sonia
吳穎薰
The Technical Representative failed to comply with the CPD requirement in the year of 2018, which was in breach of Membership Regulation 10.1.7. She was fined at HK$500.
20/05/2019 - 20/05/2019 008310
WAN Chun Ka
温振家
The Technical Representative failed to properly handle the policy renewal of his client, which was in breach of Principle (b) of CIB’s Code of Conduct. A warning is issued.
23/04/2019 - 23/04/2019 003303
KIRKHAM Mark Edward
The Chief Executive failed to ensure that the Member has adequate resources to supervise diligently and does supervise diligently persons employed or appointed by the Member to conduct Linked Long Term Business on its behalf, which was in breach of Clause 5.1.1 of the Regulations for Insurance Brokers Engaged in Advising on Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance (“Regulations”). A warning letter was issued. The Chief Executive also failed to take all reasonable steps to execute promptly client's instruction to sell client's holdings of a fund held under the policy, which was in breach of Clause 5.4.5 of Regulations. A fine of HK$10,000 was imposed.
04/04/2019 - 04/04/2019 006423
SIU Wai Luk Wagner
蕭偉略
The Technical Representative had falsely stated the place of signing of the policy owner on the policy applications, in breach of Principle (a) of CIB’s Code of Conduct.
29/01/2019 - 29/01/2019 010014
WAN Kit Man
尹潔雯
The Technical Representative advised her client to purchase a policy which was wholly unsuitable for him and failed to advise the client to fill the Replacement Declaration correctly. She was found in breach of principles (a) and (b) of CIB’s Code of Conduct and Section (IV)(B)(a) of the Insurance Authority’s Minimum Requirements. It was also concluded that she was and is not a fit and proper person. She was prohibited from being registered as a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of any Member of the CIB for a period of 5 years.
30/11/2018 - 30/11/2018 001800
BIBBY Graham Frank
貝淦恆
The Chief Executive by allowing the relevant funds to be available for purchase by his clients without disclosing his interest therein did not place his clients’ interest before all other considerations and therefore was in breach of Principles (a) and (b) of the CIB Code of Conduct. He was considered not a fit and proper person. He was ordered to be permanently prohibited from being a director or shareholder of or associated in any manner with or being registered as a Chief Executive or Technical Representative in respect of any Member of the CIB.
19/11/2018 - 19/11/2018 006155
YEUNG Lai Key
楊麗琪
The Technical Representative failed to comply with the CPD requirement in the year of 2017, which was in breach of Membership Regulation 10.1.7. She was fined at HK$2,500.
16/11/2018 - 16/11/2018 001850
BEALE Christopher John
The Chief Executive wrongly advised the client to commit to a policy that was unaffordable. He instructed a Technical Representative to wrongly tick the “No” box in the Replacement Declaration and did not advise the client of the consequences and implications of early discontinuance, surrender or further replacement of the policy. It was concluded that the Chief Executive was in breach of Principle (b) of the CIB Code of Conduct and Membership Regulations 14.7.4 and 14.7.7. He also failed to disclose the extent of remuneration following a request from the client in breach of Membership Regulation 14.8 Note 1. He was considered not fit and proper and was directed to be permanently prohibited from being a director or shareholder of or associated in any manner with or being registered as a Chief Executive or Technical Representative in respect of any Member of the CIB.
16/11/2018 - 16/11/2018 001956
KEATING Gary John
The Technical Representative advised his client to purchase a policy that was unaffordable, unsuitable and was contrary to his client’s interest. His conduct constituted flagrant breaches of Principles (a) and (b) of the CIB Code of Conduct. He was considered not a fit and proper person to be registered as a Technical Representative of CIB. He was directed to be permanently prohibited from being a director or shareholder of or associated in any manner with or being registered as a Chief Executive or Technical Representative in respect of any Member of the CIB.
16/11/2018 - 16/11/2018 011125
GODFREY Ian Russell
高彥恩
The Technical Representative failed to fill the Replacement Declaration correctly, in breach of Principle (b) of the CIB Code of Conduct. He also failed to complete a Customer Protection Declaration in accordance with the explanatory notes and failed to advise the client of the consequences and implications of early discontinuance, surrender or further replacement of the policy, in breach of Membership Regulations 14.7.4 and 14.7.7. A reprimand was issued to him.
02/11/2018 - 02/11/2018 001956
KEATING Gary John
The Technical Representative advised his client to purchase a policy which was unaffordable and gave misleading advice to his client without placing the client’s interest before all other considerations.The Technical Representative was in gross breach of Principles (a) and (b) of the CIB Code of Conduct. He was considered not a fit and proper person. He was directed to be permanently prohibited from being a director or shareholder of or associated in any manner with or being registered as a Chief Executive or Technical Representative in respect of any Member of the CIB.
29/10/2018 - 29/10/2018 015555
CHEN Ying
陳穎
The Technical Representative failed to comply with the CPD requirement in the year of 2017, which was in breach of Membership Regulation 10.1.7. She was fined at HK$1,000.
18/09/2018 - 18/09/2018 015490
CHEN Yingbo
陳映波
The Technical Representative failed to comply with the CPD requirement in the year of 2017, which was in breach of Membership Regulation 10.1.7. A warning was issued to him and he was also fined at HK$4,000.
28/08/2018 - 28/08/2018 012231
SAJJAN Harpreet Singh
The Technical Representative failed to take all reasonable steps to execute promptly client's instruction to sell client's holdings of a fund held under the policy, which was in breach of Clause 5.4.5 of Regulations for Insurance Brokers Engaged in Advising on Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance. The Technical Representative was prohibited from being registered as a Technical Representative of the CIB for a period of 6 months.
13/06/2018 - 13/06/2018 001822
BOJAN David Robert
The Chief Executive of the Member failed to provide to the clients details of the fees or commissions earned from the policies despite the clients’ request, in breach of CIB Membership Regulation 14.8 Note 1. He was fined at $10,000.
15/05/2018 - 15/05/2018 012536
LAU Chun Tung
劉震東
He as the Chief Executive of the Member failed to vet the client’s information and as such, serious questions could be raised as to his fitness to be registered as the Chief Executive. He is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive in respect of any Member of the CIB for a period of 2 years, with that prohibition be suspended for the period of 1 year from the date of this Decision. This means that if he does not have any other disciplinary case under the CIB Code of Conduct and/or Membership Regulation found established against him within 1 year, the stated prohibition shall not take effect.
28/03/2018 - 28/03/2018 000498
CHAN Wing Chung Herbert
陳穎宗
He as the Chief Executive of the Member failed to submit audited Financial Statement and Compliance Report for Financial Year Ended 31 December 2014 within six months after the end of its financial year, which was in breach of Membership Regulation 13.1. He was fined at HK$50,000.
21/03/2018 - 21/03/2018 015100
WONG Hin Yat
黃衍一
The Technical Representative wrongly informed the client about the estimated full surrender value of her policy, also confirmed with the client the wrong estimated value, which was in breach of Regulations for Insurance Brokers Engaged in Advising on Linked Long Term Insurance or Arranging or Negotiating Policies of Linked Long Term Insurance 5.4.1. A warning was issued to her.
21/02/2018 - 21/02/2018 010867
LEE Yeuk Yu Ross
李若愚
The conduct of the Technical Representative was in breach of Principles (b) of the CIB Code of Conduct requiring that “Members shall do everything possible to satisfy the insurance requirements of their clients and shall place the interests of those clients before all other considerations”.
06/11/2017 - 06/11/2017 000756
LEE Koon Shing
李觀勝
The Chief Executive failed to allocate adequate resources and set up appropriate procedures at the relevant time to ensure compliance with the Membership Regulations and the CIB Code of Conduct, in breach of Membership Regulation 3.2. A warning was issued to him.
06/11/2017 - 06/11/2017 012028
LEUNG Chi Ho
梁志豪
The Technical Representative, despite being aware of the complainant’s actual financial and employment situation, marketed to the complainant a policy that was unaffordable and inappropriate.  The Technical Representative is in breach of Principle (b) of CIB Code of Conduct and Regulation 3.7 of the Membership Regulations.  He is also considered not a fit and proper person to remain registered as a Technical Representative in accordance with Membership Regulations 3.8, 4.1 and 10.1.5.  He was prohibited from being registered as a Technical Representative in respect of any Member of the CIB for a period of 5 years.
06/11/2017 - 06/11/2017 013343
CHAN Ching Shan
陳靜山
The Technical Representative failed to comply with the CPD requirements in the year of 2015, which was in breach of Membership Regulation 10.1.7, also made an incorrect statement in respect of his CPD compliance in the registration renewal form. A reprimand was issued to him.
06/11/2017 - 06/11/2017 014756
CHEN Shirong
陳仕荣
The Technical Representative failed to comply with the CPD requirements in the year of 2015, which was in breach of Membership Regulation 10.1.7, also made an incorrect statement in respect of his CPD compliance in the registration renewal form. A reprimand was issued to him.
28/09/2017 - 28/09/2017 011708
LAI Kit Ying
黎潔瑩
The Technical Representative failed to exercise due care and diligence in handling client’s request for service, in breach of Principle (b) of the CIB Code of Conduct. A warning was issued to the Technical Representative.
25/09/2017 - 25/09/2017 001453
POON Chi Ho
潘志豪
The Technical Representative used a narrative of fees and charges on the Financial Recommendation which was found to be seriously misleading. The Technical Representative was in breach of Principle (b) of the Code of Conduct.
25/09/2017 - 25/09/2017 013711
ROGERSON Thomas Neil
The Technical Representative was found that language of the kind sent to the complainant was not acceptable. The Technical Representative was in breach of Principle (a) of the Code of Conduct. A warning was issued to him.
24/07/2017 - 24/07/2017 009104
TSE Kar Ho Jeffrey
謝家浩
The Technical Representative used a spreadsheet on the basis that premiums were to be paid for the first 3 years only with 15% growth rate notwithstanding that the policy has a term of 30 years. It was found that he failed to at all times conduct his business with utmost good faith and integrity, in breach of Principle (a) of the CIB Code of Conduct, also in breach of Regulation 14.7.3. A fine of HKD 50,000 is imposed.
24/07/2017 - 24/07/2017 010384
LEUNG Ka Yu
梁家裕
The Technical Representative used a spreadsheet on the basis that premiums were to be paid for the first 3 years only with 15% growth rate notwithstanding that the policies have terms of 30 years. It was found that he failed to conduct his business with utmost good faith and integrity, in breach of Principle (a) of CIB Code of Conduct, also in breach of Membership Regulation 14.7.3. A fine of HKD 50,000 is imposed.
20/07/2017 - 20/07/2017 000920
SHING Kwok Hung
成國雄
The Technical Representative failed to comply with the CPD requirements in the year of 2016, which was in breach of Membership Regulation 10.1.7, also made an incorrect statement in respect of his CPD compliance in the registration renewal form, in breach of IIQAS CPD Programme Administrative Framework 5.1. A fine of HKD 2,250 is imposed.
20/07/2017 - 20/07/2017 001809
HO Yuen Mun Betty
何婉敏
The Technical Representative failed to comply with the CPD requirements in the year of 2016, which was in breach of Membership Regulation 10.1.7, also made an incorrect statement in respect of her CPD compliance in the registration renewal form, in breach of IIQAS CPD Programme Administrative Framework 5.1. A fine of HKD 2,500 is imposed.
13/07/2017 - 13/07/2017 014075
LO Man Wai
羅文威
The Technical Representative made an incorrect statement in respect of his CPD compliance in the registration renewal form, in breach of IIQAS CPD Programme Administrative Framework 5.1. A fine of HKD 2,000 is imposed.
04/07/2017 - 04/07/2017 010466
LAW Mei Po Mabel
羅美寶
The Technical Representative made an incorrect statement in respect of her CPD compliance in the registration renewal form, in breach of IIQAS CPD Programme Administrative Framework 5.1. A fine of HKD 2,000 is imposed.
16/06/2017 - 16/06/2017 012769
DIMLA Claire P.
The Technical Representative made an incorrect statement in respect of her CPD compliance in the registration renewal form, in breach of IIQAS CPD Programme Administrative Framework 5.1. A fine of HKD 2,000 is imposed.
08/06/2017 - 08/06/2017 011283
YEUNG Ngai Keung
楊藝強
The Technical Representative had failed to act according to the instruction of his client in regard to the appointment of an investment adviser of the policy. It was found that he failed to do everything possible to satisfy the insurance requirements of his client and that he did not take reasonable steps to execute promptly his client’s instructions, in breach of Principle (b) of CIB Code of Conduct and Regulation 5.4.5 of CIB’s Regulations for Insurance Brokers Engaged in Advising on Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance. A warning is imposed.
29/03/2017 - 29/03/2017 000498
CHAN Wing Chung Herbert
陳穎宗
The Chief Executive failed to co-operate with CIB in answering enquiries relating to their receipt of an anonymous complaint against the Member and an alleged unauthorized Technical Representative. A fine of HKD 10,000 is imposed.
29/03/2017 - 29/03/2017 000498
CHAN Wing Chung Herbert
陳穎宗
The Chief Executive failed to co-operate with CIB in answering enquiries relating to potentially misleading claims made on the Member’s website. A fine of HKD 10,000 is imposed.
01/03/2017 - 01/03/2017 008739
CHAN Sai Kwong
陳世光
The Technical Representative failed to exercise due care and diligence in understanding and satisfying the insurance needs and requirements of the client and thereby breaching his responsibilities and failed to comply with the minimum requirements in the Code of Conduct. It was also concluded that serious questions can be raised as to his fitness and properness as a registered Technical Representative. He was prohibited from being registered as a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of any Member of the CIB for a period of 12 months.
24/02/2017 - 24/02/2017 006505
LEUNG Ka Man
梁嘉汶
The Technical Representative failed to conduct business with utmost good faith and integrity and failed to exercise due care and diligence, in beach of CIB's Code of Conduct and the Minimum Requirements. She is prohibited from being registered as a Technical Representative in respect of any Member of the CIB for a period of 5 years.
25/01/2017 - 25/01/2017 003486
TONG Ye Fung
唐爾豐
TONG Ye Fung failed to do everything possible to satisfy the insurance requirements of the client and to place the client’s interests before all other considerations, in breach of principle (b) of the CIB Code of Conduct. A warning was issued to him.
30/11/2016 - 30/11/2016 014379
BRAGG James
The Technical Representative failed to ensure that clients' monies were not used for purposes other than those for the clients, which was in breach of Membership Regulation 5.3.4. He was fined HK$10,000 and issued a Warning Letter.
11/11/2016 - 11/11/2016 001956
KEATING Gary John
The Technical Representative failed to at all times conduct his business with utmost good faith and integrity, in breach of CIB's Code of Conduct Principle (a), that he be prohibited from being registered as a Technical Representative in respect of any member of the CIB for a period of 3 years.
12/10/2016 - 12/10/2016 000407
HO Lung Wai Stanley
何龍偉
The Member, its former Chief Executive and the Technical Representative recognise that, due to the absence of an internal notation by the Technical Representative of the existence of an existing policy on a personal financial analysis form for a second policy, as at 26 August 2010 they did not fully satisfy the Confederation that they had done “everything possible to satisfy the insurance requirements” of the specific client as required under the CIB Code of Conduct principle (b). A letter of disapproval was issued.
12/10/2016 - 12/10/2016 007616
LEE Benny Ka Pang
李嘉鵬
The Member, its former Chief Executive and the Technical Representative recognise that, due to the absence of an internal notation by the Technical Representative of the existence of an existing policy on a personal financial analysis form for a second policy, as at 26 August 2010 they did not fully satisfy the Confederation that they had done “everything possible to satisfy the insurance requirements” of the specific client as required under the CIB Code of Conduct principle (b). A letter of disapproval was issued.
29/09/2016 - 29/09/2016 000489
HUANG Doron
黃道蓉
The Technical Representative provided to a client a screenshot captured from the servicing site of the insurer which showed the policy details of the client’s policy, whilst the said servicing site is available to and intended for brokers only. It is in breach of Principle (b) of CIB’s Code of Conduct that she failed to to do everything possible to satisfy the insurance requirements of her client and it is in breach of Regulation 5.4.1 of CIB’s Regulations for Insurance Brokers engaged in Advising on Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance that she failed to exercise due skill, care and diligence in ensuring that any representations made and information provided to the client are accurate and up-to-date.
12/09/2016 - 12/09/2016 002773
TSANG Hing Lun Alan
曾慶璘
He failed to ensure completion of the Customer Protection Declaration form, contrary to CIB Membership Regulation 14.7.7. A reprimand was issued to him.
07/09/2016 - 07/09/2016 001990
SHAW David Simon
He had failed to comply with the CPD requirements in the year of 2013, which was in breach of Membership Regulation 10.1.7. It was found by the Disciplinary Committee that the breach was inadvertent and technical in nature and that it was immediately remedied. He was fined at HK$1,000 and a reprimand was issued to him.
05/09/2016 - 05/09/2016 012065
SOO Donald Hintin
He failed to earn the required CPD Hours when applying for his registration renewal for 2016 which was in breach of Membership Regulation 10.1.7. He was fined at HK$4,250.
20/07/2016 - 20/07/2016 010057
CHAN Yip Kuen Eric
陳業權
He failed to earn the required CPD Hours when applying for his registration renewal for 2016 which was in breach of Membership Regulation 10.1.7. He was fined at HK$1,500.
28/06/2016 - 27/06/2031 007343
ATTERBURY Stephen David
The Technical Representative misrepresented to the client the level of bonus for topping up to an investment-linked long term insurance policy, that he be prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of the CIB for a period of 15 years.
17/06/2016 - 17/06/2016 002773
TSANG Hing Lun Alan
曾慶璘
The Chief Executive (1) failed to exercise due care and diligence and/or put in place a proper system and control to follow up and follow through client’s optional management authority application, (2) failed to exercise due care and diligence in understanding and satisfying the insurance needs and requirements of client and/or failed to place the interests of client before all other considerations; in breach specifically and primarily of Principle (b) of the CIB Code of Conduct and Regulation 5.4.5 of the Regulations for Insurance Brokers Engaged in Advising Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance.  A warning was issued to the Chief Executive.
17/06/2016 - 17/06/2016 005977
LO Wai Chi
盧慧姿
She failed to consider, or duly consider the investment requirement and financial situation of her clients in her recommendation and therefore was in contravention of principle (a) and (b) of the CIB Code Of Conduct. She was fined at HK$20,000.
17/06/2016 - 17/06/2016 008861
LAI Yuen Yee
黎苑兒
The Technical Representative (1) failed to exercise due care and diligence and/or put in place a proper system and control to follow up and follow through client’s optional management authority application; (2) failed to exercise due care and diligence in understanding and satisfying the insurance needs and requirements of client and/or failed to place the interests of client before all other considerations; in breach specifically and primarily of Principle (b) of the CIB Code of Conduct and Regulation 5.4.5 of the Regulations for Insurance Brokers Engaged in Advising Linked Long Term Insurance or Arranging Negotiating Policies of Linked Long Term Insurance. A warning was issued to the Technical Representative.
17/06/2016 - 17/06/2016 014577
WONG Koon Au
黃冠歐
He failed to earn the required CPD Hours when applying for his registration renewal for 2016 which was in breach of Membership Regulation 10.1.7. He was fined at HK$1,400.
28/04/2016 - 28/04/2016 001850
BEALE Christopher John
The Chief Executive failed to conduct his business with the utmost good faith and integrity and had deliberately made numerous false statements He exercised no due care or diligence in understanding and satisfying the insurance needs of his clients and had placed his own interests above theirs. It was therefore concluded that the Chief Executive had not complied with the requirement that he is a fit and proper person. The Member failed to keep and maintain proper books and accounts, contrary to CIB Membership Regulation 5.4.1. The Member was suspended from membership for a period of one year. The Chief Executive was suspended from being registered as a Technical Representative and as a Chief Executive of any Member of the CIB for a period of one year.
28/04/2016 - 28/04/2016 008725
LEUNG Yuen Tung Muse
梁烷彤
The Technical Representative failed to exercise due care and diligence in understanding and satisfying the insurance needs and requirements of client, in breach of the Insurance Authority's Minimum Requirement (IV)(b)(a); failed to place client’s interests above all other considerations in providing advice to, or arranging a contract of insurance, in breach of the Insurance Authority's Minimum Requirement (IV)(c)(a) and failed to conduct her business with utmost good faith and integrity, in breach of the Insurance Authority's Minimum Requirement (IV)(a)(d). She was prohibited from being registered as a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of any Member of the CIB for a period of 5 years.
19/04/2016 - 19/04/2016 003562
MANKTELOW Peter David
As Chief Executive, he failed to provide information to the CIB in breach of Regulation 3.6. He was reprimanded.
11/04/2016 - 11/04/2016 003725
SZE Chun Wai
施俊威
The conduct of the Technical Representative contravened Principles (a) and (b) of the CIB Code of Conduct requiring that "Members shall at all times conduct their business with utmost good faith and integrity” and “Members shall do everything possible to satisfy the insurance requirements of their clients and shall place the interests of those clients before all other considerations”. He contravened Membership Regulations 4.1, 10.1.5 and 10.2 in that he is not a fit and proper person to remain registered with the CIB as a technical representative of a member. SZE Chun Wai be prohibited from employment in the insurance broking industry in Hong Kong for life.
24/02/2016 - 24/02/2016 005977
LO Wai Chi
盧慧姿
She had been late to deliver life insurance policy document to the client, as the policy was issued on 30 April 2009 but it was not received by the client until 5 June 2009 which was 17 days after the expiry of the cooling off period, that contrary to Membership Regulation 14.7.8 which requires that Technical Representative shall deliver any new long term insurance policy issued by the insurer to the client without delay. She was fined at HK$6,000.
11/02/2016 - 10/02/2021 002527
CHOW Alfred Wing Hon
周永漢
CHOW Alfred Wing Hon is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of any member of the CIB for a period of not less than 5 years.
01/02/2016 - 01/02/2016 010005
CHAN Hing Yu
陳慶瑜
CHAN Hing Yu knowingly made a false declaration in an Application Form for TR Registration (Year 2014) dated 8 August 2014, contrary to Principle (a) of the CIB Code of Conduct. He was fined at HK$10,000.
22/01/2016 - 22/01/2016 011833
PARFITT Simon Martin
He as the Chief Executive failed to set up appropriate procedures to ensure compliance with Regulations, contrary to CIB Membership Regulation 3.2. He was fined at HK$50,000.
18/01/2016 - 17/01/2019 001838
ADAMS-PAPE Robert Michael
ADAMS-PAPE Robert Michael is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of the CIB for a period of 3 years.
18/01/2016 - 17/01/2018 010005
CHAN Hing Yu
陳慶瑜
CHAN Hing Yu is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of the CIB for a period of 2 years.
21/12/2015 - 21/12/2015 006765
LAM Siu Ming
林肇銘
He prepared himself erroneous illustrations of investment-linked assurance policies to two clients with inflated policy values, hence failed to conduct business in good faith and integrity and/or to act in the best interest of clients. With mitigation taken into account, he was fined HK$10,000.
17/12/2015 - 17/12/2015 003486
TONG Ye Fung
唐爾豐
TONG Ye Fung failed to conduct business with utmost good faith and integrity and/or to do everything possible to satisfy the insurance requirements of clients and to place the interests of those clients before all other considerations constituting breaches of principles of the CIB Code of Conduct. He was fined at HK$10,000.
02/12/2015 - 01/12/2030 000748
TAM Wai Leung
談偉良
Tam Wai Leung is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of the CIB for a period of 15 years.
02/12/2015 - 01/12/2016 000748
TAM Wai Leung
談偉良
Tam Wai Leung is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of any member of the CIB for a period of 1 year, the period of this prohibition is to run concurrently with the period of suspension already ordered in respect of case DC14/054.
02/12/2015 - 01/12/2016 000748
TAM Wai Leung
談偉良
Tam Wai Leung is prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of the CIB for a period of 1 year. The period of this prohibition is to run concurrently with the period of suspension ordered in respect of cases DC14/054 and DC14/044.
02/12/2015 - 01/12/2016 000748
TAM Wai Leung
談偉良
Tam Wai Leung is prohibited from being a director or shareholder of, or assoicated in any manner with, or registered as a Chief Executive or Technical Representative in respect of, any member of hte CIB for a period of 1 year. The period of this prohibition is to run concurrently with the periods ordered in respect of cases DC14/054 and DC15/020.
02/12/2015 - 02/12/2015 009864
WONG Suk Ying
黃淑英
Ms. Wong Suk Ying breached Principle (a) of the CIB's Code of Conduct and Membership Regulations 4, 9.1.4 and 10.1.5 when she abetted another Technical Representative to sign a false declaration. A formal reprimand was issued.
07/10/2015 - 07/10/2015 001705
SMITH Derek Alexander
Being a Director of the Member, he failed to ensure the Member to nominate a Chief Executive within 30 days hence breaching the CIB Membership Regulation 7.5. A fine of HK$10,000 was imposed.
07/10/2015 - 07/10/2015 001894
CAMERON Andrew James
Being a Director of the Member, he failed to ensure the Member to nominate a Chief Executive within 30 days hence breaching the CIB Membership Regulation 7.5. A fine of HK$10,000 was imposed.
29/09/2015 - 28/09/2020 001800
BIBBY Graham Frank
貝淦恆
In his capacity as the Director and Controller of Richmond Asset Management Limited, he failed to ensure the company's due compliance with Membership Regulations 13.1, 2.6, 3.6, 7,5 and 5.4.1, and he himself also failed to cooperate with the CIB. He was prohibited from being registered as a Chief Executive or Technical Representative in respect of any member of the CIB for a period of 5 years.
22/04/2015 - 22/04/2015 002549
CHIM Yau Man
詹幼文
Ms. Chim Yau Man failed to conduct her business with integrity of using forged address proof of a client in an application for life insurance, contrary to principle (a) of the Code of Conduct of The Hong Kong Confederation of Insurance Brokers. This also affects the fit and proper status of Ms. Chim as per CIB Membership Regulation 4.1.1 (her character and reputation) and 4.1.2 (her integrity and reliability).Ms. Chim is prohibited from being a Technical Representative of a Member of the Confederation for her life time, effective from 22 April 2015.
28/11/2014 - 28/11/2014 010886
HAWRANKE Peter
Mr. HAWRANKE Peter failed to conduct business with utmost good faith and integrity and that he was not a fit and proper person in terms of his character, integrity and reliability. He is prohibited from applying for registration as either a Chief Executive or Technical Representative for his life time.
24/11/2014 - 24/11/2014 001462
STORFER Ira Gary
Failure to ensure RS Insurance Brokers Limited submit Auditor's Financial Statement and Auditor's Compliance Report when due, Mr. Storfer's name is removed from the sub-register and that he be prohibited from being a director or shareholder of, or associated in any manner with, or registered as a Chief Executive or Technical Representtive in respect of, any company which is a member of the Confederation for a period of not less than 2 years.