December 23, 2020 BY Steffy Bogdanova

Hong Kong SFC fines Fulbright Securities Limited $3.6 million

The regulator also found that Fulbright failed to report these incidents to the SFC immediately upon discovering them. In deciding the disciplinary sanction, the SFC took into account that adequate and effective internal control systems are fundamental to the fitness and properness of a licensed corporation and that Fulbright’s short selling failures lasted for at…

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