JPMorgan Chase & Co.
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 bans Benjamin Zhu Zhiwei, ex-JP Morgan, for 18 months
SFC, 7-May-2015
Zhu traded CFDs in a friend's account by sending trade instructions to his friend via his work email address. Not very smart if you are trying to hide your tracks!
SFC, 7-May-2015
Zhu traded CFDs in a friend's account by sending trade instructions to his friend via his work email address. Not very smart if you are trying to hide your tracks!
SFC bans Ms Sui Yu for 3 months for regulatory breaches
SFC, 19-Nov-2013
...more than 4 years after the event.
SFC, 19-Nov-2013
...more than 4 years after the event.
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