J.P. MORGAN BROKING (HONG KONG) LIMITED
SFC fines 3 JP Morgan entities total HK$30m
SFC, 15-Dec-2015
Note: there was apparently no actual failure to settle the 41,000 uncovered short sales (for which the firm held long positions in other legal entities), nor did any client get a worse price on their agency orders than they could have obtained in the market.
SFC, 15-Dec-2015
Note: there was apparently no actual failure to settle the 41,000 uncovered short sales (for which the firm held long positions in other legal entities), nor did any client get a worse price on their agency orders than they could have obtained in the market.
SFC revokes licences of Mr Chung Yu Kit & Mr Ding Lai Leung, fines Ding HK$128k for front-running
SFC, 4-Jan-2008
SFC, 4-Jan-2008
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