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Monaco Financial Authority Issues Public Sanction & Reprimand on Swiss Private Bank Julius Baer for Internal Control Failures Involving 10 Structured Investment Product Transactions Totalling $172 Million (£135 Million) Value from 2020 to 2022 for a Single Client
1st August 2024 | Hong Kong
Monaco financial authority has issued a public sanction & reprimand on Swiss private bank Julius Baer for internal control failures involving 10 structured investment product transactions totalling $172 million (£135 million) value from 2020 to 2022 for a single client. Each structured investment product transaction is at least £5 million, with the largest transaction of £30 million. There were also no term sheets signed by client and Julius Baer defended itself as a victim of actions by an employee. The public sanction & reprimand was issued by Monaco Commission de Contrôle des Activités Financières (Financial Activities Supervisory Commission).
“ Monaco Financial Authority Issues Public Sanction & Reprimand on Swiss Private Bank Julius Baer for Internal Control Failures Involving 10 Structured Investment Product Transactions Totalling $172 Million (£135 Million) Value from 2020 to 2022 for a Single Client“
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Monaco Financial Authority Issues Public Sanction & Reprimand on Swiss Private Bank Julius Baer for Internal Control Failures Involving 10 Structured Investment Product Transactions Totalling $172 Million (£135 Million) Value from 2020 to 2022 for a Single Client
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