Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong SFC Fines UBS Securities Asia $570,000 for Failure to Record Client Transactions
Hong Kong’s Securities and Futures Commission (SFC) has reprimanded and fined...
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption
HK SFC Reprimands and Fines Interactive Brokers HK$4.5 Million for Causing Market Disruption
The Securities and Futures Commission (SFC) has reprimanded and fined Interactive Brokers...
Monetary Authority of Singapore Fines Standard Chartered Singapore S$6.7 million for Breaching AML &...
Monetary Authority of Singapore Fines Standard Chartered Singapore S$6.7 million for Breaching AML & CFT Requirements
Monetary Authority of Singapore (MAS) has imposed penalties of...
MAS Bans Former-AIA Representative for 8 Years for Fraud
MAS Bans Former-AIA Representative for 8 Years for Fraud
Monetary Authority of Singapore (MAS) has issued prohibition orders against ex-AIA representative Tan Peng Khoon for...
Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities
Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities
The Eastern Magistrates’ Court in Hong Kong has convicted an individual of dealing in...
BGL BNP Paribas Buys ABN AMRO in Luxembourg
BGL BNP Paribas Buys ABN AMRO in Luxembourg
BGL BNP Paribas, one of the largest banks in Luxembourg and part of the BNP Paribas Group,...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure...
Hong Kong SFC Fines Former Account Executive of Equity Broker KGI $10,000 for Failure to Keep Record of Order Instructions
Hong Kong's Securities and Futures...
DBS Completes Acquisition of ANZ Wealth and Retail Business in Asia
DBS Completes Acquisition of ANZ Wealth and Retail Business in Asia
DBS Bank has successfully completed the acquisition of ANZ’s wealth management and retail banking...
Lombard Odier Appoints CEO Asia Vincent Magnenat as Limited Partner
Lombard Odier Appoints CEO Asia Vincent Magnenat as Limited Partner
Lombard Odier has appointed CEO Asia and Head of Private Banking Asia, Vincent Magnenat as...
Scottish Widows and Lloyds Wealth to Terminate £109 Billion AUM Partnership with Standard Life...
Scottish Widows and Lloyds Wealth to Terminate £109 Billion AUM Partnership with Standard Life Aberdeen
Scottish Widows and Lloyds Banking Group’s Wealth businesses have given...
