March 21, 2018 BY Valentina Kirilova
SFC reprimands and fines UBS Securities Asia Limited $4.5 million
The Hong Kong Securities and Futures Commission (SFC) announced that it has reprimanded and fined UBS Securities Asia Limited (UBS Securities) $4.5 million for failing to put in place effective controls to record transactions and client consents in relation to its facilitation trading activities. In the course of an SFC inspection in 2016 and a…
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