Credit Suisse Hong Kong Fined $5mn

Regulatory breaches include failures related to segregation of client securities, reporting of transaction, noncompliance with short selling requirements, unsuitability of investment products sold to clients.

To continue reading...


Get access to Regulation Asia

Regulation Asia delivers the latest news, research and analysis on regulation across banking and capital markets.

Enquire about a subscription today. Get in touch with one of our team or purchase a subscription by clicking below:

Enquire Subscribe

To discuss our subscription options
please email [email protected]

To Top