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