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United States Commodity Futures Trading Commission Fines 11 Firms $710 Million...

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United States Commodity Futures Trading Commission Fines 11 Firms $710 Million for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS,...

United States SEC Fines 11 Firms $1.1 Billion for Using Text...

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United States SEC Fines 11 Firms $1.1 Billion for Using Text Messaging & Non-Authorised Channels with No Record Keeping, Citi, UBS, Credit Suisse, Goldman...

Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making...

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Hong Kong SFC Fines Fund Manager CES Capital $407,000 for Making Investment Decision by Directors, Questionable Underlying Companies Valuation Due to Minimal Due Diligence...

Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering...

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Hong Kong SFC Fines China Everbright Securities $484,000 for Anti-Money Laundering Breaches, Failure to Identify $31 Million from 178 Transactions 17th June 2022 | Hong...

Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation...

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Hong Kong SFC Fines Citigroup $44 Million for Trading Desks Misrepresentation to Institutional Clients 28th January 2022 | Hong Kong The Hong Kong Securities and Futures...

JP Morgan Fined $200 Million for Employees Using Messaging Apps &...

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JP Morgan Fined $200 Million for Employees Using Messaging Apps & WhatsApp 24th December 2021 | Hong Kong The United States Securities and Exchange Commission (SEC)...

Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000...

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Hong Kong SFC 2021 Q2 Report: Actions on Market Misconduct, $640,000 Fines, 47527 Licensees, ESG Guidelines for Asset Managers 19th August 2021 | Hong Kong The...

Credit Suisse and Nomura in $6 Billion Hit by Bill Hwang Archegos...

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Credit Suisse and Nomura in $6 Billion Hit by Bill Hwang Archegos Family Office 5th April 2021 | Hong Kong Credit Suisse and Nomura are facing nearly...

Hong Kong Court Fines Individual HK$8,000 for Unlicensed Dealing in Securities 

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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...