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Hong Kong SFC Fines Deutsche Bank & Deutsche Securities $1.06 Million for Regulatory Breaches
The Securities and Futures Commission (SFC) has reprimanded and fined Deutsche Bank AKTIENGESELLSCHAFT (DBAG) and its wholly-owned subsidiary Deutsche Securities Asia Limited (DSAL) $1.06 million (HK$8.3 million) over regulatory breaches related to short position reporting, unlicensed regulated activities and segregation of client monies.
“ SFC fines Deutsche Bank & Deutsche Securities Asia $1.06 million “
Between June 2012 to January 2015, DBAG had failed to comply with short position reporting requirements, failing to report 792 short positions. Between January 2015 and March 2017, the bank had also published 49 research reports on futures contracts without a Type 5 (advising on futures contracts) regulated activity registration.
Between January 2010 and December 2014, DSAL had failed to segregate client monies within the timeline prescribed by the Securities and Futures (Client Money) Rules in 117 incidents. The failures were also rectified only after the prescribed timeline.
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In determining the penalties, SFC took into account Deutsche Bank and Deutsche Securities had self-reported the breaches, fully cooperated in resolving SFC’s concerns and implemented remedial measures.
Source: Official Press Release
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