In this article

SFC fines BOCI Securities Ltd HK$10m for investment products selling practices

SFC, 18-Mar-2019

The Bank of China (3988) subsidiary allowed clients to upgrade their investment risk without justification and to achieve "high asset concentration" - more than 20% of net assets in one product - in the majority of transactions in the relevant periods.

Organisations


Sign up for our free newsletter

Recommend Webb-site to a friend

Copyright & disclaimer, Privacy policy

Back to top