All posts tagged "Segregation"
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1.3KContributed ArticleIndependent Amount – 10 Years and No Change Since Lehman Collapse
Counterparties are exposed to material downside risk in posting collateral without restrictions on rehypothecation or non-segregation, says Matthieu Sachot at Chappuis Halder & Co.
September 19, 2018 -
535EnforcementDeutsche Fined, Censured for HK Regulatory Breaches
Securities regulator says fine would have been much higher were it not for self-reporting of breaches, cooperation in inquiry and ‘remedial measures’.
March 15, 2018 -
1.6KHong KongSFC Raises Standards for Client Facilitation Trades
Client facilitation traders must be segregated from agency traders to protect client information and avoid conflicts of interest.
February 17, 2018 -
734EnforcementCredit 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.
February 10, 2018
