Credit Suisse Securities (Hong Kong) Limited

SFC fines Credit Suisse HK$39.3m for years of regulatory breaches
SFC, 8-Feb-2018
Among other things, the firm settled its own sales using clients' securities on 843 occasions from 2010-2016, made 94 naked short sales, and failed to report over 1200 (weekly) short positions between Jun-2012 and Oct-2014.
Life ban for Jagjit Singh Dhillon, ex-Credit Suisse
SFC, 12-Jan-2015
For cooking his trading books.
SFC fines Credit Suisse Securities (HK) Ltd HK$1.6m
SFC, 11-Jun-2013

Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top