[EN] Exercising duty without care and diligence https://hkbedc.icac.hk/en/resources/case_studies/138 Intro: Doris, an account manager of a brokerage company, has not exercised her duties with due care, causing her client Kelvin suffered a great financial loss. https://hkbedc.icac.hk/cache/img/4c7a31244288505554ca7999ca23d500.jpg [ZH-HANT] 履行職責時粗疏及不盡責 https://hkbedc.icac.hk/zh-hant/resources/case_studies/138 Intro: 桃麗絲是一間經紀行的客戶經理，她沒有謹慎勤勉地履行職責，導致客戶啟文損失慘重。 https://hkbedc.icac.hk/cache/img/4c7a31244288505554ca7999ca23d500.jpg [ZH-HANS] 履行职责时粗疏及不尽责 https://hkbedc.icac.hk/zh-hant/resources/case_studies/138 Intro: 桃麗丝是一间经纪行的客户经理，她没有谨慎勤勉地履行职责，导致客户启文损失惨重。 https://hkbedc.icac.hk/cache/img/4c7a31244288505554ca7999ca23d500.jpg

[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

[EN] Personal relationships taking a higher priority https://hkbedc.icac.hk/en/resources/case_studies/142 Intro: Raymond, a fund manager in a medium-sized asset management company, makes use of his official position to place business with his wife without observing his company policy on the selection of external brokers. https://hkbedc.icac.hk/cache/img/3902d82c2406cfbdb50b9539d8cab842.jpg [ZH-HANT] 以私人關係為優先考慮因素 https://hkbedc.icac.hk/zh-hant/resources/case_studies/142 Intro: 雷蒙是一間中型資產管理公司的基金經理。他不理會公司外聘經紀的準則，利用職權將生意轉介給珍妮。 https://hkbedc.icac.hk/cache/img/3902d82c2406cfbdb50b9539d8cab842.jpg [ZH-HANS] 以私人关系为优先考虑因素 https://hkbedc.icac.hk/zh-hant/resources/case_studies/142 Intro: 雷蒙是一间中型资产管理公司的基金经理。他不理会公司外聘经纪的准则，利用职权将生意转介给珍妮。 https://hkbedc.icac.hk/cache/img/3902d82c2406cfbdb50b9539d8cab842.jpg

[EN] Taking advantage of official position for personal dealing https://hkbedc.icac.hk/en/resources/case_studies/146 Intro: Robert is a fund manager of an international asset management company, who manages the provident funds for certain large corporations. One day, he receives a research report from an analyst stating that the profit margin of Hydroplane is expected to be high in the forthcoming three years… https://hkbedc.icac.hk/cache/img/c9d78932e34f23cc21309ad4dd015d88.jpg [ZH-HANT] 利用職位之便謀取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/146 Intro: 羅拔是一間國際資產管理公司的基金經理，負責管理多個大機構的公積金。一天，他收到證券分析員一份研究報告，預測高技地產的盈利在未來三年將會大幅增加… https://hkbedc.icac.hk/cache/img/c9d78932e34f23cc21309ad4dd015d88.jpg [ZH-HANS] 利用职位之便谋取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/146 Intro: 羅拔是一间国际资产管理公司的基金经理，负责管理多个大机构的公积金。一天，他收到证券分析员一份研究报告，预测高技地产的盈利在未來三年将会大幅增加… https://hkbedc.icac.hk/cache/img/c9d78932e34f23cc21309ad4dd015d88.jpg

[EN] Conflict with a client’s interest https://hkbedc.icac.hk/en/resources/case_studies/144 Intro: Billy, a sales manager of a securities company, deals in the same stocks with his client Joe simultaneously. https://hkbedc.icac.hk/cache/img/b2570960982959493e3da470471abfe4.jpg [ZH-HANT] 與客戶的利益衝突 https://hkbedc.icac.hk/zh-hant/resources/case_studies/144 Intro: 比利是一間證券公司的營業經理，他將本身和客戶的買賣盤合併處理。 https://hkbedc.icac.hk/cache/img/b2570960982959493e3da470471abfe4.jpg [ZH-HANS] 与客户的利益冲突 https://hkbedc.icac.hk/zh-hant/resources/case_studies/144 Intro: 比利是一间证券公司的营业经理，他将本身和客户的买卖盘合并处理。 https://hkbedc.icac.hk/cache/img/b2570960982959493e3da470471abfe4.jpg

[EN] Profit gaining through front running https://hkbedc.icac.hk/en/resources/case_studies/148 Intro: Ken is working for an international futures trading company as a dealing manager. His company often receives orders from fund managers whose moves can significantly affect the market. Taking this opportunity, Ken makes some secret arrangements with Anna, a dealer of another futures trading company… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg [ZH-HANT] 利用超前交易謀取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/148 Intro: 簡寧是一間國際期貨交易公司的交易經理，他的公司經常接到不少基金經理落盤，交易量足以影響市場走勢。簡寧乘工作之便，與另一間期貨交易公司的交易員蔓娜進行秘密交易… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg [ZH-HANS] 利用超前交易谋取私利 https://hkbedc.icac.hk/zh-hant/resources/case_studies/148 Intro: 简寧是一间国际期货交易公司的交易经理，他的公司经常接到不少基金经理落盘，交易量足以影响市场走势。简寧乘工作之便，与另一间期货交易公司的交易员蔓娜进行秘密交易… https://hkbedc.icac.hk/cache/img/31abbe15639fd8ff9efb86738729097f.jpg

[EN] An offence committed notwithstanding incomplete corrupt transaction https://hkbedc.icac.hk/en/resources/case_studies/149 Intro: Agnes, an account manager of a brokerage firm, offered money to Alan, a senior portfolio manager of an asset management corporation, for his assistance in persuading other members in the selection committee to direct business to her. https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg [ZH-HANT] 貪污目的未達仍屬違法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/149 Intro: 經紀行客戶經理艾美向大型資產管理公司的投資組合高級經理亞倫提供回佣，要求他協助說服甄選委員會其他委員將生意轉介給她。 https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg [ZH-HANS] 贪污目的未达仍属违法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/149 Intro: 经纪行客户经理艾美向大型资产管理公司的投资组合高级经理亚倫提供回佣，要求他协助說服甄选委员会其他委员将生意转介给她。 https://hkbedc.icac.hk/cache/img/e2b2c97971046c20f048fd28accf50b7.jpg

[EN] Excessive entertainment and gifts https://hkbedc.icac.hk/en/resources/case_studies/151 Intro: Margaret was an account manager of a brokerage company. Daniel, her client, treated her and her subordinates to a luxurious dinner and offered her an antique watch after earning a good sum of money in his investment. https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg [ZH-HANT] 奢華款待及饋贈 https://hkbedc.icac.hk/zh-hant/resources/case_studies/151 Intro: 美琪是一間經紀行的會計經理，客戶盧狄投資賺了不少錢，便邀請美琪和一班同事享用豪華晚宴，更送了一隻古董手錶給美琪。 https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg [ZH-HANS] 奢华款待及馈赠 https://hkbedc.icac.hk/zh-hant/resources/case_studies/151 Intro: 美琪是一间经纪行的会计经理，客户盧狄投资赚了不少钱，便邀请美琪和一班同事享用豪华晚宴，更送了一只古董手表给美琪。 https://hkbedc.icac.hk/cache/img/76356dce052c5225ed341af263a28a1e.jpg

[EN] Offering and accepting an advantage both constituting an offence https://hkbedc.icac.hk/en/resources/case_studies/153 Intro: Peter was a dealing director of a brokerage company. He was offered a country club membership in exchange for referring company’s business to his golf partner, who was an external broker. https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg [ZH-HANT] 提供及收受利益均屬違法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/153 Intro: 經紀行交易董事彼得接受高爾夫球拍檔兼外判經紀給予的鄉村俱樂部會籍，以轉介生意給對方。 https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg [ZH-HANS] 提供及收受利益均属违法 https://hkbedc.icac.hk/zh-hant/resources/case_studies/153 Intro: 经纪行交易董事彼得接受高尔夫球拍档兼外判经纪给予的乡村具乐部会籍，以转介生意给对方。 https://hkbedc.icac.hk/cache/img/a564c0142fbcab5d11ec3cc395f2de07.jpg

[EN] Falsifying client's loan application https://hkbedc.icac.hk/en/resources/case_studies/23 Intro: A relationship manager of a bank, without his client’s knowledge, forged documents to deceive the bank in approving an increase in the client’s credit limit and a new loan. He then transferred the money to an account he controlled. https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg [ZH-HANT] 偽造客戶貸款申請 https://hkbedc.icac.hk/zh-hant/resources/case_studies/23 Intro: 銀行客戶經理在客戶不知情下，偽造文件代客戶增加信用額並申請貸款，他然後將資金轉移到他控制的帳戶中。 https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg [ZH-HANS] 伪造客户贷款申请 https://hkbedc.icac.hk/zh-hant/resources/case_studies/23 Intro: 银行客户经理在客户不知情下，伪造文件代客户增加信用额并申请贷款，他然后将资金转移到他控制的帐户中。 https://hkbedc.icac.hk/cache/img/052b358981bd8513caf14985745d47dc.jpg