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Regulatory Lessons from UBS AG’s HK$8 Million Fine for Misclassification of Professional Investors
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UBS AG因錯誤分類專業投資者遭證監會譴責及罰款800萬元的监管启示
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SFCCompliance: 滙豐因研究報告的披露缺失而遭證監會譴責並罰款420萬元
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SFC issues restriction notice to GA (Int'l) Capital Management Limited and conducts search operation
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證監會向環聯（國際）資產管理有限公司發出限制通知書及進行搜查行動
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盈透證券香港有限公司違反監管規定遭證監會譴責及罰款420萬元
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Hedge fund manager disgorge $5.6 million illicit profit from false trading and disqualified 4yrs
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False personal dealing report, SFC bans Wu Chao for three years and seven months
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證監會譴責獅子期貨有限公司違反監管規定並處以罰款280萬元
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证监会谴责某资产管理公司违反监管规定及犯有内部监控缺失并处以罚款340万元