All posts tagged "Emperor Futures"
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633AML / KYCSFC Fines Emperor Securities, Emperor Futures for AML Breaches
Emperor processed third party fund transfers without validating the relationships between the clients and the third parties, or the reason for the transfers.
March 17, 2022 -
262AML / KYCSFC Suspends Former Emperor Representative for 2 Years
The broker transferred client money through bank accounts he owned to help two clients transfer money to/from the Mainland, among other violations.
September 1, 2021
