Tag archive for ‘fines’
Ashley Alder, HK SFC Chief Executive Officer
By Steve On Wednesday, June 15th, 2016
0 Comments

HK SFC fines State Street Global Advisors $4 million

Ashley Alder, HK SFC Chief Executive OfficerThe Securities and Futures Commission (SFC) has reprimanded and fined State Street Global Advisors Asia Limited (SSGA) $4 million for its failure to comply with regulatory More...

By Steve On Wednesday, May 7th, 2014
0 Comments

HK SFC Reprimands And Fines Kaiser $1.7 Million

Ashley Alder, HK SFC CEOThe Securities and Futures Commission (SFC) has reprimanded Kaiser Securities Limited (Kaiser Securities) and Kaiser Futures Limited (Kaiser Futures) (collectively referred to as Kaiser) More...

By Steve On Wednesday, April 23rd, 2014
0 Comments

SFC Reprimands And Fines The Royal Bank Of Scotland PLC $6 Million For Internal Control Failings

Ashley Alder, HK SFC CEOThe Securities and Futures Commission (SFC) has issued a reprimand to The Royal Bank of Scotland Public Limited Company (RBS) and fined it $6 million for internal control failures relating More...

By Steve On Thursday, December 19th, 2013
0 Comments

HK SFC fines HSBC Securities $5 million for Providing Inaccurate Information in Licence Application

HSBC Hong Kong HeadquartersThe Securities and Futures Commission (SFC) has reprimanded HSBC Securities Brokers (Asia) Limited (HSBC Securities), a wholly owned subsidiary of The Hongkong and Shanghai Banking Corporation More...

By Sophia B On Saturday, September 7th, 2013
0 Comments

HK SFC Reprimands and Fines Sun On Tat Securities Company Limited and its Responsible Officer $1.8 million

Ashley Alder, HK SFC CEO The Securities and Futures Commission (SFC) has reprimanded Sun On Tat Securities Company Limited (Sun On Tat) and fined it $1,600,000 for internal control failings in a number of aspects More...

By Sophia B On Sunday, August 25th, 2013
0 Comments

HK SFC Fines China Securities Holdings Limited $1.3 Million

Alexa Lam, HK SFC Deputy CEO The Securities and Futures Commission (SFC) has issued a reprimand to China Securities Holdings Limited (China Securities); fined it $1.3 million and banned its responsible officer, More...

By Steve On Tuesday, June 11th, 2013
0 Comments

HK SFC Fines Credit Suisse Securities $1.6 million for Regulatory Breaches

Ashley Alder, HK SFC CEOThe Securities and Futures Commission (SFC) has reprimanded and fined Credit Suisse Securities (Hong Kong) Limited (Credit Suisse) $1.6 million for regulatory breaches and internal control More...

By Steve On Friday, May 24th, 2013
0 Comments

HK SFC Fines UBS Securities Hong Kong $1.6 Million for Regulatory Breaches

Ashley Alder, HK SFC CEOThe Securities and Futures Commission (SFC) has reprimanded and fined UBS Securities Hong Kong Limited (UBS) HK$1.6 million for regulatory breaches and internal control failings relating More...

By Steve On Thursday, March 7th, 2013
0 Comments

ASX Fines Merrill Lynch Australia 40k

The Chief Compliance Officer (“CCO”) of ASX Compliance Pty Limited (“ASX Compliance”) has determined the following: Contravention 1 Merrill Lynch (Australia) Futures Limited (“MLAFL”) contravened ASX More...

By Steve On Thursday, August 18th, 2011
0 Comments

Bursa Malaysia Reprimands and Fines Macquarie and Two Former Heads of Dealing

Bursa Malaysia Securities Berhad (Bursa Securities) has publicly reprimanded and imposed fines of RM50,000, RM25,000 and RM10,000, respectively, on Macquarie Capital Securities (Malaysia) Sdn Bhd (Macquarie); Thomas More...

All Rights Reserved WIld Wild Web Limited