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SFC fines 3 JP Morgan entities total HK$30m
SFC, 15-Dec-2015
Note: there was apparently no actual failure to settle the 41,000 uncovered short sales (for which the firm held long positions in other legal entities), nor did any client get a worse price on their agency orders than they could have obtained in the market.
Organisations
- J.P. MORGAN BROKING (HONG KONG) LIMITED
- J.P. MORGAN SECURITIES (ASIA PACIFIC) LIMITED
- J.P. MORGAN SECURITIES (FAR EAST) LIMITED
- JPMorgan Chase & Co.
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