Morningstar fund investors were exposed to weapons companies for "short periods of time" despite an ESG Policy that prohibited such exposures.
PwC's Hong Kong and China units were fined a combined $7mn for failing to prevent exam cheating by over 1,000 individuals between 2018 and 2020.
The FSC fined Shanghai Commercial and Savings Bank over leaks of personal data involving 14,000 bank customers.
A number of CEOs and former CEOs were sanctioned over the mis-selling of funds tied to Lime Asset Management and Optimus Asset Management.
The HKMA fined CA Indosuez's Hong Kong branch for failing to continuously monitor business relationships with some clients.
The SFC is being accused of playing a "passive role" by not blocking suspicious crypto trading platform Hounax and preventing it from contacting the public.
A total 66 individuals have now been arrested, though they have not yet been charged and have all been released on bail pending investigation.
The announcement came just days after Zhongzhi, one of the largest conglomerates in China's shadow finance sector, said it was insolvent.
Korean banks and brokerage firms sold equity-linked securities tied to the HSCEI, which has fallen more than 50 percent from its peak in 2021.
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