Providing investment advice without thorough research and required registration

[EN] Providing investment advice without thorough research and required registration https://hkbedc.icac.hk/en/resources/case_studies/140 Intro: Donald, an account manager of a brokerage company, provides investment advice on futures options to clients and accepts clients’ orders without being licensed. https://hkbedc.icac.hk/cache/img/7c12a4d537e0fa9a6b724cfdd1e93ac2.jpg [ZH-HANT] 缺乏所需資格及全面探討而向客戶提供投資意見 https://hkbedc.icac.hk/zh-hant/resources/case_studies/140 Intro: 唐德在經紀行任職客戶經理，卻在未取得有關牌照的情況下，向客戶作出投資建議並接受其買盤。 https://hkbedc.icac.hk/cache/img/7c12a4d537e0fa9a6b724cfdd1e93ac2.jpg [ZH-HANS] 缺乏所需资格及全面探讨而向客户提供投资意見 https://hkbedc.icac.hk/zh-hant/resources/case_studies/140 Intro: 唐德在经纪行任职客户经理，却在未取得有关牌照的情况下，向客户作出投资建议并接受其买盘。 https://hkbedc.icac.hk/cache/img/7c12a4d537e0fa9a6b724cfdd1e93ac2.jpg