Tag: Ban
Hong Kong SFC Bans Citigroup Head & Board Member for 10...
Hong Kong SFC Bans Citigroup Head & Board Member for 10 Years for Regulatory Breaches & Internal Control Failures for Revenue, Misrepresentations to Institutional...
Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life...
Hong Kong SFC Bans Convoy Asset Management Wealth Consultant for Life for Stock Market Manipulation, Paid Colleague 12% to 15% Rebates of Transactions for...
United States SEC Proposed Ban on Employees Investing in Financial Sector...
United States SEC Proposed Ban on Employees Investing in Financial Sector Funds & Collect Data on Employee’s Securities Transactions, Exemption on Diversified Mutual Funds
2nd...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 &...
Hong Kong SFC Fines Investment Advisory Firm Cardinalasia Consulting $191,000 & Banned Founder Edward Lee for 9 Months, Unfair $26 Million Loan Agreements for...
Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct,...
Hong Kong SFC Bans CICC Banker 8 Months for Securities Misconduct, No Approval from Employer to Open Trading Account & Conducted $6.08 Million via...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi...
Hong Kong SFC Bans China Galaxy International Securities Broker Tang Shiyi for 10 Months for Violating Staff Dealing Policy, No Approval to Setup Personal...
China Shuts Down 13 Illegal Crypto Trading Apps, 23 Crypto Media...
China Shuts Down 13 Illegal Crypto Trading Apps, 23 Crypto Media Websites & 440 bloggers, Had Issued Total Ban on Crypto-Trading & Mining in...
China Issues Total Ban on Cryptocurrency, Crypto-Trading & Mining
China Issues Total Ban on Cryptocurrency, Crypto-Trading & Mining
16th September 2021 | Hong Kong
China authority has issued a total ban on Crypto-trading & mining (2021 September) in...
Bain & Co Banned from UK Government Contracts for 3 Years...
Bain & Co Banned from UK Government Contracts for 3 Years for Involvement in South African Corruption for Former President Allies, Earned $121 Million...
Hong Kong SFC Bans Standard Chartered Wealth Planning Manager for 6...
Hong Kong SFC Bans Standard Chartered Wealth Planning Manager for 6 Months for Forging Missing Signature on Document, Self-Reported to HK Authority by SCB
4th...