Duo claimed commissions on fictitious unit trust sales.
Scheme will include arrangements to protect volunteers in financial technology trials.
Reported incidents include underpayment of stamp duty on OTC transactions.
Regulator says bank overcharged on equities, bonds, structured products, options, swaps and funds.
Mandatory clearing covers HKD- or G4 currency-denominated interest rate swaps.
Managing staff responsible for AML, CTF systems implementation encouraged to attend.
Ruling on research report could add to fears of chilling effect after case against Moody’s.
Five firms issued with licences under Ordinance introduced in November 2015.
US bank’s Hong Kong securities operation says to review internal controls to ensure compliance.
SFC, HKEX consultation reveals fundamental conflict between legal enforcement and listing approval.
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