April 24, 2018 BY Valentina Kirilova

SFC fines CN Capital Management Limited $1.2 million over regulatory breaches

The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded CN Capital Management Limited (CN Capital) and fined it $1,000,000 for failing to maintain an effective compliance function and satisfactory internal controls concerning employee account dealing. The SFC has also reprimanded its responsible officers, Mr George Chan Yee Lee and Mr Stephen…

Read more