Citigroup Inc.
SFC bans Citigroup Global Markets' former Responsible Officer Philip John Shaw for 10 years
| Statement of Disciplinary Action
SFC, 6-Mar-2023
"Shaw had, through his misconduct, engendered a culture of chasing revenue at the expense of client interests and basic standards of honesty within CGMAL."
SFC, 6-Mar-2023
"Shaw had, through his misconduct, engendered a culture of chasing revenue at the expense of client interests and basic standards of honesty within CGMAL."
SFC fines Citigroup Global Markets Asia Ltd HK$348.25m for serious regulatory failures over client facilitation activities
| Statement 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, 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$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, 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.
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