AML compliance, Hong Kong SFC, Mason Securities, SFC fine
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Hong Kong’s SFC has imposed a fine of $3.6 million on Mason Securities Limited (MSL), formerly known as GuocoCapital Limited (GCL).
Ewarton Securities, Hong Kong SFC, SFC, SFC fine
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Hong Kong’s SFC has reprimanded and fined Ewarton Securities Limited $1.5 million for internal control failings.
Optimas Capital, SFC, SFC fine
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Hong Kong’s SFC has reprimanded Optimas Capital Limited and fined it $1.05 million over short position reporting failures.
Fullbright fine, Fullbright Securities Limited, SFC fine
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Fulbright Securities Limited got a fine of $3.6 million for internal control failures relating to short selling.
Credit Suisse, Credit Suisse fine, SFC, SFC fine
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Credit Suisse Securities (Hong Kong) Limited gets a $2.1 million fine for regulatory breaches related to failures in its electronic trading systems.
