Credit Suisse AG

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.
SFC bans Ms Lum Yin Ling foreverReasons for sentence
SFC, 21-Feb-2014

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