SFC fines UBS HK$11.55m for regulatory breachesStatement of Disciplinary Action
SFC, 3-Aug-2021
SFC fines UBS HK$4.5m in relation to facilitation trading activities
SFC, 21-Mar-2018
SFC fines Ms Wan Xing of UBS HK$200k
SFC, 1-Mar-2016
Ms Wan told her clients they could sell the new BYD shares 2 days before the placing was due to complete, but they shouldn't have, because the placing might not have completed. In the end it did though.

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top