Citigroup Inc.

SFC fines Citigroup Global Markets Asia Ltd HK$348.25m for serious regulatory failures over client facilitation activitiesStatement of Disciplinary Action
SFC, 28-Jan-2022
We note that Benjamin Neil Valentine, former Head of Pan Asia Electronic Execution and an RO, ceased to be an RO of Citi on 29-May-2021.
SFC fines Citigroup HK$4m for alternative liquidity pool failures
SFC, 10-Jul-2018
SFC fines Citigroup HK$57m for Real Gold (0246) sponsor failures
SFC, 17-May-2018
Well that took a while. Over 9 years after the IPO, and with the stock about to celebrate its 7th anniversary of being suspended, a settlement is reached with the sponsor. Not one that will help investors though - there does not appear to be any admission of liability by Citgroup to investors and even if there were, HK has no class action system.
SFC raps Citgroup for runaway algorithms
SFC, 14-May-2014

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