Hong Kong investment boutique CEO gets two-year ban for conduct breaches 

Mark Battersby
clock • 3 min read

Hong Kong's Securities and Futures Commission (SFC) has suspended Christopher James Aarons, responsible officer and chief executive officer of Trafalgar Capital Management (HK) for two years from 27 September 2022 to 26 September 2024 after the Securities and Futures Appeals Tribunal (SFAT) upheld the SFC's disciplinary action against him for breaches of the SFC's Code of Conduct. In a statement on 29 September, the SFC said its disciplinary action followed administrative proceedings against Aarons in South Korea.   The Korean regulatory authorities found that Aarons had breached Kore...

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